Mark Anthony Rocca

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
FL	RA	APPROVED	2025-12-15
MI	RA	APPROVED	2011-08-09
TX	RA	APPROVED	2011-08-05

FL RA
APPROVED

Since 2025-12-15
MI RA
APPROVED

Since 2011-08-09
TX RA
APPROVED

Since 2011-08-05

Branch Locations

Estero, FL • United States

5122 Cascade Road 1St Floor, Grand Rapids, MI 49546 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Morgan Stanley Smith Barney	Grand Rapids	MI	08/2011	Present
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	Present

08/2011 → Present

Morgan Stanley Smith Barney

Grand Rapids, MI
01/2015 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

1999-02-11 → 2011-08-11

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Grand Rapids, MI

Grand Rapids, MI

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-10-07
S63	Uniform Securities Agent State Law Examination	1993-08-31

S65 Uniform Investment Adviser Law Examination

2010-10-07
S63 Uniform Securities Agent State Law Examination

1993-08-31

Other Names

Mark A Rocca

View on SEC IAPD