Cecilia C Rozema

CRD 8028044

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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:

Current Employers

Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
GA	RA	APPROVED	2025-04-07

GA RA
APPROVED

Since 2025-04-07

Branch Locations

2000 Westchester Ave (Home Office), Purchase, NY 10577 • United States

1 Edison Drive, Alpharetta, GA 30005 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley	Alpharetta	GA	02/2025	Present
Unemployed	Louisville	KY	06/2024	01/2025
Sacred Heart Model School	Louisville	KY	08/2022	05/2024
Unemployed	Louisville	KY	08/2021	07/2022
Victoria's Secret	Louisville	KY	06/2019	07/2021
Education	Louisville	KY	01/2015	05/2019

02/2025 → Present

Morgan Stanley

Alpharetta, GA
06/2024 → 01/2025

Unemployed

Louisville, KY
08/2022 → 05/2024

Sacred Heart Model School

Louisville, KY
08/2021 → 07/2022

Unemployed

Louisville, KY
06/2019 → 07/2021

Victoria's Secret

Louisville, KY
01/2015 → 05/2019

Education

Louisville, KY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-03-28

S66 Uniform Combined State Law Examination

2025-03-28

View on SEC IAPD

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