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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2023-08-24
FL RA APPROVED 2015-11-19
TX RA APPROVED 2015-11-13
  • NJ RA
    APPROVED
    Since 2023-08-24
  • FL RA
    APPROVED
    Since 2015-11-19
  • TX RA
    APPROVED
    Since 2015-11-13

Branch Locations

376 Tilton Road, Northfield, NJ 08225 • United States

350 East Las Olas Boulevard Suite 1500, Fort Lauderdale, FL 33301 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Ft Lauderdale FL 11/2015 Present
Morgan Stanley Private Bank, National Association New York NY 11/2015 Present
  • 11/2015 → Present
    Ft Lauderdale, FL
  • 11/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
Other Businesses

*242129 - Mojito Club LLC ; Investment related:Yes; North Miami, Florida; Restaurant/Bar/Nightclub; Partner(proprietor, partner, officer, director, employee, trustee, agent); 3/2008; During business hours: 0; After business hours: 0; No direct involvement with the business or operations of the business *242129 - Mojito Club LLC; Investment related- Yes; North Miami; Florida; Restaurant/bar/Nightclub; Partner (proprietor, partner, officer, director, employee, trustee, agent); 03/2008; During business hours: 0; After business hours: 0; No direct involvement.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-05-12
S63 Uniform Securities Agent State Law Examination 2006-03-27
  • S65 Uniform Investment Adviser Law Examination
    2006-05-12
  • S63 Uniform Securities Agent State Law Examination
    2006-03-27
Other Names
  • Rosa Vazquez
  • Rosa Leace

View on SEC IAPD

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