Individual Firm
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.
STEVEN ROCCO COLLI
CRD#: 2398062
IA
B
MORGAN STANLEYCRD#: 149777 340 Mount Kemble Avenue
Morristown, NJ 07960
Morristown, NJ 07960
View By:
9/5/2017
Customer Dispute
Settled
2/16/2017
Customer Dispute
Denied
1/19/2017
Customer Dispute
Closed-No Action
10/26/2016
Customer Dispute
Settled
5/9/2016
Customer Dispute
Settled
6/18/2012
Customer Dispute
Settled
7/19/2011
Customer Dispute
Denied
4/22/2009
Customer Dispute
Denied
1/7/2008
Customer Dispute
Denied
11/29/2003
Customer Dispute
Settled
5/7/1999
Customer Dispute
Settled
11/21/1997
Customer Dispute
Closed-No Action
State Registrations
B
Arizona 5/23/2017
B
New York 12/2/2011
B
California 12/2/2011
B
North Carolina 12/9/2011
B
Colorado 4/11/2024
B
Ohio 8/1/2024
B
Connecticut 12/20/2011
B
Oregon 2/20/2025
B
Delaware 7/15/2016
B
Pennsylvania 12/2/2011
B
Florida 12/2/2011
B
South Carolina 12/18/2023
B
Maryland 12/2/2011
B
Texas 7/1/2019
B
New Jersey 12/2/2011
IA
Texas 4/15/2020
IA
New Jersey 12/2/2011
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 12/2/2011
B
Registered with this firm since 12/2/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/14/2007 - 12/08/2011 | HIGHLAND PARK, NJ | |
B | 06/14/2007 - 12/08/2011 | HIGHLAND PARK, NJ | |
IA | 10/20/2004 - 05/15/2007 | SPRINGFIELD, NJ | |
B | 10/20/2004 - 05/15/2007 | SPRINGFIELD, NJ | |
IA | 10/11/2002 - 10/20/2004 | SPRINGFIELD, NJ | |
B | 04/25/2001 - 10/20/2004 | NEW YORK, NY | |
B | 01/27/1999 - 04/25/2001 | BETHLEHEM, PA | |
B | 08/11/1998 - 01/27/1999 | NAPA, CA | |
B | 12/09/1994 - 05/27/1998 | ENGLEWOOD, CO | |
B | 08/05/1994 - 11/01/1994 | NEW YORK, NY | |
B | 10/21/1993 - 09/07/1994 | NEW YORK, NY |
ENGLEWOOD, CO
12/09/1994 - 05/27/1998
NEW YORK, NY
08/05/1994 - 11/01/1994
NEW YORK, NY
10/21/1993 - 09/07/1994
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.