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Detailed Report
Rocco D Cassone Jr.
ROCCO DOUGLAS CASSONE JR, ROCKY CASSONE JR, Rocco D Cassone
CRD#: 5570102
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 850 Morrison Drive
Suite 800
Charleston, SC 29403
Registration History
20082010201220142016201820202022202420262 FIRMS2022 - Present (2 years)BSECURIAN FINANCIAL SERVICES, INC. (CRD# 15296)2008 - 2010 (2 years)IASECURIAN FINANCIAL SERVICES, INC. (CRD# 15296)2009 - 2010 (1 year)
License(s)

State Registrations

B
Alabama 11/3/2022
B
Nebraska 11/3/2022
B
Alaska 11/3/2022
B
Nevada 11/3/2022
B
Arizona 11/3/2022
B
New Hampshire 11/3/2022
B
Arkansas 11/3/2022
B
New Jersey 11/3/2022
B
California 11/3/2022
B
New Mexico 11/4/2022
B
Colorado 11/3/2022
B
New York 11/3/2022
B
Connecticut 11/3/2022
B
North Carolina 11/3/2022
B
Delaware 11/3/2022
B
North Dakota 11/3/2022
B
District of Columbia 11/3/2022
B
Ohio 11/4/2022
B
Florida 11/3/2022
B
Oklahoma 11/3/2022
B
Georgia 11/3/2022
B
Oregon 11/3/2022
B
Hawaii 11/4/2022
B
Pennsylvania 11/3/2022
B
Idaho 11/3/2022
B
Rhode Island 11/3/2022
B
Illinois 11/3/2022
B
South Carolina 10/25/2022
B
Indiana 11/3/2022
IA
South Carolina 10/25/2022
B
Iowa 11/4/2022
B
South Dakota 11/3/2022
B
Kansas 11/3/2022
B
Tennessee 11/3/2022
B
Kentucky 11/3/2022
B
Texas 11/3/2022
B
Louisiana 11/3/2022
IA
Texas 11/4/2022
B
Maine 11/3/2022
B
Utah 11/3/2022
B
Maryland 11/3/2022
B
Vermont 11/3/2022
B
Massachusetts 11/3/2022
B
Virgin Islands 11/3/2022
B
Michigan 11/3/2022
B
Virginia 11/3/2022
B
Minnesota 11/3/2022
B
Washington 11/3/2022
B
Mississippi 11/3/2022
B
West Virginia 11/3/2022
B
Missouri 11/3/2022
B
Wisconsin 11/3/2022
B
Montana 11/3/2022
B
Wyoming 11/3/2022

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)
850 Morrison Drive Suite 800, Charleston, SC 29403
Registered with this firm since 10/25/2022
B
MORGAN STANLEY (CRD#:149777)
850 Morrison Drive Suite 800, Charleston, SC 29403
Registered with this firm since 6/19/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/22/2009 - 10/15/2010 SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296) DANIEL ISLAND, SC
B
 10/21/2008 - 10/15/2010 SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296) DANIEL ISLAND, SC
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.