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Pablo Esteban Roca

Morgan Stanley

Punta Gorda, FL

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-12-15
TX RA APPROVED_RES 2022-12-14
  • FL RA
    APPROVED
    Since 2022-12-15
  • TX RA
    APPROVED_RES
    Since 2022-12-14

Branch Locations

117 Herald Court Suite 113, Punta Gorda, FL 33950 • 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
Wells Fargo Advisors Llc Fort Myers FL 07/2009 11/2016
Wells Fargo Clearing Services, Llc Fort Myers FL 11/2016 11/2022
Morgan Stanley Punta Gorda FL 11/2022 Present
Previous Registrations
  • 2009-08-11 → 2022-12-01
    Wells Fargo Clearing Services, Llc
    Fort Myers, FL
    Venice, FL
    North Port, FL
    Naples, FL
    Punta Gorda, FL
    Port Charlotte, FL
  • 2008-04-09 → 2009-07-27
    Msi Financial Services, Inc.
    Naples, FL
    Ft. Myers, FL
  • 2007-04-02 → 2008-02-04
    Morgan Stanley & Co. Llc
    Punta Gorda, FL
    Ft. Myers, FL
    Punta Gorda, FL
  • 2006-09-26 → 2007-04-02
    Morgan Stanley Dw Inc.
    Punta Gorda, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-09-22
  • S66 Uniform Combined State Law Examination
    2006-09-22
Other Names
  • Pablo Esteban Roca
  • Pablo Roca

View on SEC IAPD

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