Helen Susan Rothlein

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2009 → Present
  Morgan Stanley Smith Barney
  New York, NY
• 01/2015 → Present
  Morgan Stanley Private Bank, National Association
  New York, NY

Previous Registrations

• 2007-02-05 → 2009-06-01
  Citigroup Global Markets Inc.
  New York, NY
• 2003-07-01 → 2007-01-24
  Wells Fargo Clearing Services, Llc
  New York, NY
  New York, NY
• 2002-01-09 → 2003-07-01
  Prudential Equity Group, Llc
  New York, NY

Other Businesses

1.SERVE AS EXECUTOR FOR THE ESTATE OF GRACE DIMINO 2. CHAIRPERSON OF ARTSGENESIS 3. Citizens Committee for Children; Not Investment related; supports programs for New York City Children; Head of finance committee. (proprietor, partner, officer, director, employee, trustee, agent); 06/2016; During business hours: 0; After business hours: 10; looking over the income and spending. * 474245 - Power of Attorney; Investment related Yes; saugerties, New York; Power of Attorney; 02/2022; During business hours: 30; After business hours: 0; Check Signing/Funds Disbursements, Investment Decisions/Advice *518140- Estate; Investment related-Yes; new york, New York;08/2022; During business hours: 5; After business hours: 5

Exams

• S66 Uniform Combined State Law Examination
  2023-12-21
• S65 Uniform Investment Adviser Law Examination
  1993-12-02
• S63 Uniform Securities Agent State Law Examination
  1985-04-30

Other Names

• Helen S Rothlein Dipippo