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Roger Michael Stern

Morgan Stanley

Jericho, NY

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-16
CT RA APPROVED 2020-08-07
  • NY RA
    APPROVED
    Since 2021-06-16
  • CT RA
    APPROVED
    Since 2020-08-07

Branch Locations

Two Jericho Plaza, Jericho, NY 11753 • 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 Melville NY 05/2009 11/2016
Wells Fargo Clearing Services, Llc Melville NY 11/2016 08/2020
Morgan Stanley Smith Barney Llc Jericho NY 08/2020 Present
Morgan Stanley Private Bank, N.A New York NY 09/2020 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Melville, NY
  • 11/2016 → 08/2020
    Wells Fargo Clearing Services, Llc
    Melville, NY
  • 08/2020 → Present
    Morgan Stanley Smith Barney Llc
    Jericho, NY
  • 09/2020 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-04-26
S63 Uniform Securities Agent State Law Examination 1984-11-27
  • S65 Uniform Investment Adviser Law Examination
    2022-04-26
  • S63 Uniform Securities Agent State Law Examination
    1984-11-27

View on SEC IAPD

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FIRST LONG ISLAND INVESTORS, LLC · JERICHO, NY
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RBC CAPITAL MARKETS, LLC · JERICHO, NY
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