Lee Sandy Rosen

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2026-04-27
TX	RA	APPROVED	2026-04-24

FL RA
APPROVED

Since 2026-04-27
TX RA
APPROVED

Since 2026-04-24

Branch Locations

595 South Federal Highway Suite 400, Boca Raton, FL 33432 • United States

Boca Raton, FL • 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 No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Melville	NY	10/2015	04/2026
Bank Of America, N.A.	Melville	NY	11/2015	04/2026
Morgan Stanley Smith Barney Llc	Boca Raton	FL	04/2026	Present
Morgan Stanley Private Bank, N.A.	New York	NY	04/2026	Present

10/2015 → 04/2026

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Melville, NY
11/2015 → 04/2026

Bank Of America, N.A.

Melville, NY
04/2026 → Present

Morgan Stanley Smith Barney Llc

Boca Raton, FL
04/2026 → Present

Morgan Stanley Private Bank, N.A.

New York, NY

Previous Registrations

2015-10-16 → 2026-04-27

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Melville, NY

Melville, NY

Melville, NY

Boca Raton, FL

Boca Raton, FL
2009-06-01 → 2015-10-20

Morgan Stanley

Jericho, NY
2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Jericho, NY
2007-02-14 → 2007-04-02

Morgan Stanley Dw Inc.

Jericho, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-03-29
S65	Uniform Investment Adviser Law Examination	1993-07-16
S63	Uniform Securities Agent State Law Examination	1981-03-20

S66 Uniform Combined State Law Examination

2022-03-29
S65 Uniform Investment Adviser Law Examination

1993-07-16
S63 Uniform Securities Agent State Law Examination

1981-03-20