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Detailed Report
PATY SUSANA
PATY SUSANA-RODRIGUEZ
CRD#: 3223602
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 2000 WESTCHESTER AVENUE, 1 NC
NORTHEAST REGION
PURCHASE, NY 10577
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2010 (3 years)2 FIRMS2010 - 2019 (9 years)2 FIRMS2021 - Present (4 years)
License(s)

State Registrations

B
Connecticut 1/19/2021
B
New York 1/19/2021
IA
Connecticut 1/19/2021
IA
New York 6/16/2021

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)
2000 WESTCHESTER AVENUE, 1 NC NORTHEAST REGION, PURCHASE, NY 10577
Registered with this firm since 1/19/2021
B
MORGAN STANLEY (CRD#:149777)
2000 WESTCHESTER AVENUE, 1 NC NORTHEAST REGION, PURCHASE, NY 10577
Registered with this firm since 1/19/2021
Previous Registration(s)
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IA
 05/11/2010 - 06/26/2019 MORGAN STANLEY (CRD#:149777) PURCHASE, NY
B
 05/07/2010 - 06/26/2019 MORGAN STANLEY (CRD#:149777) PURCHASE, NY
IA
 11/17/2006 - 04/27/2010 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WHITE PLAINS, NY
B
 10/09/2006 - 04/27/2010 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WHITE PLAINS, 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.