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Detailed Report
ANDREW ROBERT ROTHENBERG
CRD#: 5394086
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 7500 Old Georgetown Road 10Th Floor
Bethesda, MD 20814
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - Present (15 years)
License(s)

State Registrations

B
California 6/1/2009
B
New Jersey 8/6/2020
B
Colorado 6/1/2009
B
New Mexico 8/11/2010
B
Connecticut 2/27/2018
B
New York 6/1/2009
B
Delaware 10/12/2020
B
North Carolina 6/1/2009
B
District of Columbia 6/1/2009
B
Oregon 1/17/2019
B
Florida 6/1/2009
B
Pennsylvania 6/1/2009
B
Georgia 7/14/2014
B
South Carolina 6/24/2024
B
Illinois 1/14/2010
B
Tennessee 8/11/2010
B
Indiana 1/12/2011
B
Texas 6/1/2009
B
Kansas 5/10/2024
IA
Texas 6/1/2009
B
Maryland 6/1/2009
B
Utah 3/22/2010
IA
Maryland 6/1/2009
B
Vermont 1/4/2012
B
Massachusetts 1/9/2012
B
Virginia 6/1/2009
B
Michigan 8/17/2015
B
Washington 1/11/2012
B
Minnesota 4/10/2015
B
West Virginia 3/13/2012
B
Nevada 8/19/2016

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)
7500 Old Georgetown Road 10Th Floor, Bethesda, MD 20814
Bethesda, MD
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
7500 Old Georgetown Road 10Th Floor, Bethesda, MD 20814
Bethesda, MD
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/04/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) BETHESDA, MD
B
 08/27/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) BETHESDA, MD
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.