Best Investors Account Sign in

Rita J Rothstein

Morgan Stanley

San Jose, CA

San Jose, CA

CRD 3206769

Claim This Profile
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:

Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2023-02-01
TX RA APPROVED_RES 2020-02-20
CA RA APPROVED 2014-01-03
  • TN RA
    APPROVED
    Since 2023-02-01
  • TX RA
    APPROVED_RES
    Since 2020-02-20
  • CA RA
    APPROVED
    Since 2014-01-03

Branch Locations

225 West Santa Clara Street Suite 900, San Jose, CA 95113 • United States

San Jose, CA • 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
Morgan Stanley San Jose CA 01/2014 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 01/2014 → Present
    Morgan Stanley
    San Jose, CA
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2005-06-03 → 2014-01-10
    Ubs Financial Services Inc.
    Palo Alto, CA
    Palo Alto, CA
  • 1999-07-02 → 2005-06-06
    Morgan Stanley Dw Inc.
    Cupertino, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-05-27
  • S66 Uniform Combined State Law Examination
    1999-05-27
Other Names
  • Rita Freed
  • Rita Joy Rothstein

View on SEC IAPD

Nearby Firms

J.P. MORGAN SECURITIES LLC
PFG ADVISORS
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Nearby Investors

Ryan Leiby
Adrian Baker
Bianca N. Cross

Nearby Offices

J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
PFG ADVISORS · San Jose, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA

More in San Jose, CA

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor