Rocco M Neis

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2020 → 01/2021
  Equitable Advisors, Llc
  New York, NY
• 10/2018 → 07/2020
  Keller Williams Realty Staten Island
  Staten Island, NY
• 06/2018 → 10/2018
  P&G Associates
  East Brunswick, NJ
• 04/2018 → 06/2018
  Mcd Partners
  New York, NY
• 01/2018 → 04/2018
  John Tapinis & Associates Ltd
  Staten Island, NY
• 06/2017 → 12/2017
  Wohl & Omara
  Staten Island, NY
• 06/2016 → 12/2016
  Imowitz Koenig & Co Llc
  New York, NY
• 01/2017 → 05/2018
  College Staten Island
  Staten Island, NY
• 09/2017 → Present
  Richmond County Officials
  Staten Island, NY
• 09/2019 → Present
  New York Department Of Education
  New York, NY
• 07/2020 → 06/2021
  Keller Williams Realty Staten Island
  Staten Island, NY
• 02/2021 → 04/2021
  Allstate Insurance Co.
  Hauppauge, NY
• 06/2021 → 09/2021
  Morgan Stanley Smith Barney Llc
  New York, NY
• 01/2022 → Present
  Morgan Stanley Smith Barney Llc
  New York, NY

Previous Registrations

• 2021-06-29 → 2021-10-08
  Morgan Stanley
  New York, NY
• 2021-03-03 → 2021-04-23
  Allstate Financial Advisors, Llc
  Hauppauge, NY
• 2020-11-09 → 2021-02-03
  Equitable Advisors, Llc
  Woodbridge, NJ

Other Businesses

*481390- Richmond County Officials; Investment related No; Staten Island, New York; Referee (proprietor, partner, officer, director, employee, trustee, agent) ; 09/2017; During business hours: 0; After business hours: 8; Referee Flag Football *534502 - Evolution RE LLC.; Investment related: Yes; Staten Island, New York; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 01/2023; During business hours: .0; After business hours: 12; Property Management. *624532 - Referees Crease; Investment Related - No; east weymouth, Massachusetts; Sports Referee; Contractor (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 02/2025; During Business Hours: 0; After Business Hours: 16; Referee Hockey Games on weekends.

Exams

• S66 Uniform Combined State Law Examination
  2020-11-03

Other Names

• Rocco Neis