• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
ELLEN MARY ROOZEN
ELLEN ROOZEN
CRD#: 1182359
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 411 East Wisconsin Avenue
Suite 2200
Milwaukee, WI 53202
Registration History
199019952000200520102015202020252 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - Present (15 years)BKEMPER CLEARING CORP. (CRD# 15879)1988 - 1989 (1 year)
License(s)

State Registrations

B
Alabama 1/19/2016

B
Nebraska 7/18/2017

B
Alaska 10/11/2019

B
Nevada 1/7/2011

B
Arizona 1/7/2011

B
New Hampshire 1/7/2011

B
Arkansas 1/7/2011

B
New Jersey 1/7/2011

B
California 1/7/2011

B
New Mexico 10/9/2019

B
Colorado 1/7/2011

B
New York 1/7/2011

B
Connecticut 1/7/2011

B
North Carolina 1/7/2011

B
Delaware 1/7/2011

B
North Dakota 10/9/2019

B
District of Columbia 10/14/2016

B
Ohio 1/7/2011

B
Florida 1/7/2011

B
Oklahoma 10/9/2019

B
Georgia 1/7/2011

B
Oregon 8/25/2017

B
Hawaii 1/19/2016

B
Pennsylvania 1/7/2011

B
Idaho 5/19/2017

B
Puerto Rico 12/19/2018

B
Illinois 1/7/2011

B
Rhode Island 10/9/2019

B
Indiana 8/10/2017

B
South Carolina 1/7/2011

B
Iowa 1/7/2011

B
South Dakota 10/9/2019

B
Kansas 10/9/2019

B
Tennessee 1/7/2011

B
Kentucky 1/19/2016

B
Texas 1/7/2011

B
Louisiana 8/25/2017

IA
Texas 1/10/2011

B
Maine 5/19/2017

B
Utah 1/7/2011

B
Maryland 1/7/2011

B
Vermont 1/19/2016

B
Massachusetts 1/7/2011

B
Virgin Islands 10/9/2019

B
Michigan 1/7/2011

B
Virginia 1/7/2011

B
Minnesota 1/7/2011

B
Washington 1/7/2011

B
Mississippi 12/19/2018

B
Wisconsin 6/1/2009

B
Missouri 1/7/2011

IA
Wisconsin 6/1/2009

B
Montana 8/25/2017

B
Wyoming 10/9/2019

SRO Registrations

B
FINRA

B
NYSE American LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
411 East Wisconsin Avenue Suite 2200, Milwaukee, WI 53202
Registered with this firm since 6/1/2009

B
MORGAN STANLEY (CRD#:149777)
411 East Wisconsin Avenue Suite 2200, Milwaukee, WI 53202
Registered with this firm since 6/1/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
12/12/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MILWAUKEE, WI
B
07/18/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MILWAUKEE, WI
B
10/10/1988 - 11/08/1989 KEMPER CLEARING CORP. (CRD#:15879)
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.