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Detailed Report
JOHN D ROCCO JR
JOHN ROCCO
CRD#: 2584302
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 20 Linden Place
Red Bank, NJ 07701
Registration History
19952000200520102015202020252 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - Present (15 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1995 - 2008 (12 years)BTAGLICH BROTHERS, D'AMADEO, WA... (CRD# 29102)1995 - 1997 (2 years)BOPPENHEIMER & CO., INC. (CRD# 630)1995 - 1995 (<1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1999 - 2008 (9 years)
License(s)

State Registrations

B
Alabama 1/21/2018
B
New Hampshire 2/2/2021
B
Arizona 6/1/2009
B
New Jersey 6/1/2009
B
Arkansas 2/6/2025
IA
New Jersey 6/1/2009
B
California 6/1/2009
B
New Mexico 3/27/2023
B
Colorado 6/1/2009
B
New York 6/1/2009
B
Connecticut 6/1/2009
IA
New York 6/16/2021
B
Delaware 6/1/2009
B
North Carolina 7/1/2009
B
District of Columbia 6/1/2009
B
Ohio 6/1/2009
B
Florida 6/1/2009
B
Oregon 8/29/2018
B
Georgia 6/1/2009
B
Pennsylvania 6/1/2009
B
Hawaii 3/13/2025
B
Puerto Rico 10/28/2022
B
Idaho 6/28/2024
B
Rhode Island 6/1/2009
B
Illinois 6/1/2009
B
South Carolina 10/4/2013
B
Kansas 1/15/2019
B
South Dakota 5/8/2017
B
Maine 1/22/2025
B
Tennessee 9/27/2019
B
Maryland 6/1/2009
B
Texas 6/1/2009
B
Massachusetts 6/1/2009
IA
Texas 6/1/2009
B
Michigan 4/23/2014
B
Utah 4/30/2024
B
Minnesota 7/21/2021
B
Vermont 5/18/2020
B
Mississippi 3/31/2025
B
Virginia 6/1/2009
B
Missouri 2/5/2019
B
Washington 3/2/2012
B
Montana 2/27/2024
B
Wisconsin 6/1/2009
B
Nevada 3/6/2018
B
Wyoming 8/19/2020

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)
20 Linden Place, Red Bank, NJ 07701
55 East 52nd Street 30th Floor, New York, NY 10055
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
20 Linden Place, Red Bank, NJ 07701
55 East 52nd Street 30th Floor, New York, NY 10055
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/14/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) NEW YORK, NY
B
 11/14/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) NEW YORK, NY
IA
 01/27/1999 - 11/18/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 12/14/1995 - 11/18/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 03/13/1995 - 06/02/1997 TAGLICH BROTHERS, D'AMADEO, WAGNER & CO., INC. (CRD#:29102) COLD SPRING HARBOR, NY
B
 08/01/1995 - 08/24/1995 OPPENHEIMER & CO., INC. (CRD#:630) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.