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Stephen Richard Roop

Morgan Stanley

Portland, ME

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-04-08
ME RA APPROVED 2012-09-20
  • TX RA
    APPROVED_RES
    Since 2020-04-08
  • ME RA
    APPROVED
    Since 2012-09-20

Branch Locations

100 Middle Street 3Rd Floor, Portland, ME 04101 • 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
OrganizationCityStateFromTo
Morgan Stanley Portland ME 05/2012 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 05/2012 → Present
    Morgan Stanley
    Portland, ME
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-09-06
S63 Uniform Securities Agent State Law Examination 2012-08-22
  • S65 Uniform Investment Adviser Law Examination
    2012-09-06
  • S63 Uniform Securities Agent State Law Examination
    2012-08-22

View on SEC IAPD

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Other Offices

PORTLAND FINANCIAL PLANNING GROUP · PORTLAND, ME
PORTLAND FINANCIAL PLANNING GROUP · PORTLAND, ME
J.P. MORGAN SECURITIES LLC · Portland, ME
GREAT DIAMOND PARTNERS, LLC · PORTLAND, ME
HARBOR INVESTMENT ADVISORS · PORTLAND, ME
BIGELOW INVESTMENT ADVISORS, LLC · PORTLAND, ME
BIGELOW INVESTMENT ADVISORS, LLC · Portland, ME
MASCOMA WEALTH MANAGEMENT · Portland, ME

More in Portland, ME

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