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Detailed Report
SCOTT LEE ROCKWELL
CRD#: 4487334
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 Sarasota, FL
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2006 (4 years)2 FIRMS2006 - 2009 (2 years)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - Present (15 years)
License(s)

State Registrations

B
Arizona 6/8/2021
B
New Mexico 6/4/2024
B
California 6/1/2009
B
New York 6/1/2009
B
Colorado 1/19/2016
B
North Carolina 6/1/2009
B
Connecticut 5/19/2020
B
Ohio 5/25/2021
B
Delaware 10/11/2016
B
Oklahoma 3/1/2023
B
District of Columbia 9/1/2020
B
Oregon 9/12/2022
B
Florida 6/1/2009
B
Pennsylvania 6/9/2010
IA
Florida 6/1/2009
B
Rhode Island 7/29/2024
B
Georgia 5/12/2017
B
South Carolina 3/22/2019
B
Illinois 6/30/2016
B
Texas 1/27/2025
B
Kentucky 3/7/2012
IA
Texas 1/31/2025
B
Maine 10/12/2022
B
Utah 7/23/2024
B
Maryland 5/3/2011
B
Virginia 6/1/2009
B
Massachusetts 2/21/2020
B
Washington 6/2/2020
B
Michigan 8/6/2014
B
West Virginia 7/2/2024
B
Minnesota 1/3/2013
B
Wisconsin 11/3/2021
B
New Jersey 5/5/2020
B
Wyoming 6/2/2023

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)
Sarasota, FL
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
Sarasota, FL
Registered with this firm since 6/1/2009
Previous Registration(s)
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IA
 01/12/2009 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SARASOTA, FL
B
 01/12/2009 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SARASOTA, FL
IA
 06/19/2006 - 01/14/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SARASOTA, FL
B
 06/16/2006 - 01/14/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SARASOTA, FL
IA
 01/09/2002 - 06/20/2006 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SARASOTA, FL
B
 01/08/2002 - 06/20/2006 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SARASOTA, FL
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.