Roger Preston Littlefield

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

• 05/2014 → 01/2020
  Bok Financial Securities, Inc.
  Tulsa, OK
• 05/2014 → 01/2020
  Bokf, N.A.
  Tulsa, OK
• 01/2020 → Present
  Morgan Stanley Smith Barney Llc
  Tulsa, OK
• 03/2020 → Present
  Morgan Stanley Private Bank, N.A
  New York, NY

Previous Registrations

• 2014-05-20 → 2020-01-22
  Bok Financial Securities, Inc.
  Tulsa, OK
• 2012-12-14 → 2014-05-07
  B. Riley Wealth Management
  Memphis, TN
  Tulsa, OK
• 2009-04-27 → 2012-12-14
  Sanders Morris Llc
  Tulsa, OK
• 1999-05-26 → 2009-05-15
  Citigroup Global Markets Inc.
  Tulsa, OK
  Bixby, OK
  Tulsa, OK

Exams

• S66 Uniform Combined State Law Examination
  2019-12-27
• S63 Uniform Securities Agent State Law Examination
  1999-05-05
• S65 Uniform Investment Adviser Law Examination
  1999-05-03

Designations

• Certified Financial Planner

Other Names

• Roger Preston Littlefield