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JOHN D ROCCO JR
JOHN ROCCO
CRD#: 2584302
IA
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MORGAN STANLEYCRD#: 149777 55 East 52nd Street
29th Floor
New York, NY 10055
29th Floor
New York, NY 10055
0
Disclosures
30
Years of Experience
View By:
State Registrations
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Alabama 1/21/2018
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New Jersey 6/1/2009
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Arizona 6/1/2009
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New Jersey 6/1/2009
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Arkansas 2/6/2025
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New Mexico 3/27/2023
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California 6/1/2009
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New York 6/1/2009
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Colorado 6/1/2009
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New York 6/16/2021
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Connecticut 6/1/2009
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North Carolina 7/1/2009
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Delaware 6/1/2009
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Ohio 6/1/2009
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District of Columbia 6/1/2009
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Oregon 8/29/2018
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Florida 6/1/2009
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Pennsylvania 6/1/2009
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Georgia 6/1/2009
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Puerto Rico 10/28/2022
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Idaho 6/28/2024
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Rhode Island 6/1/2009
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Illinois 6/1/2009
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South Carolina 10/4/2013
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Kansas 1/15/2019
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South Dakota 5/8/2017
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Maine 1/22/2025
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Tennessee 9/27/2019
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Maryland 6/1/2009
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Texas 6/1/2009
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Massachusetts 6/1/2009
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Texas 6/1/2009
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Michigan 4/23/2014
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Utah 4/30/2024
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Minnesota 7/21/2021
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Vermont 5/18/2020
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Missouri 2/5/2019
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Virginia 6/1/2009
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Montana 2/27/2024
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Washington 3/2/2012
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Nevada 3/6/2018
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Wisconsin 6/1/2009
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New Hampshire 2/2/2021
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Wyoming 8/19/2020
SRO Registrations
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Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/14/2008 - 06/01/2009 | NEW YORK, NY | |
B | 11/14/2008 - 06/01/2009 | NEW YORK, NY | |
IA | 01/27/1999 - 11/18/2008 | NEW YORK, NY | |
B | 12/14/1995 - 11/18/2008 | NEW YORK, NY | |
B | 03/13/1995 - 06/02/1997 | COLD SPRING HARBOR, NY | |
B | 08/01/1995 - 08/24/1995 | NEW YORK, NY |
COLD SPRING HARBOR, NY
03/13/1995 - 06/02/1997
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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.
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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.