Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
BENJAMIN Cooke RODGERS
BEN Cooke RODGERS, Benjamin Cooke Rodgers, Benjamin Rodgers
CRD#: 5938929
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1747 Pennsylvania Ave NW
Suite 900
Washington, DC 20006
Registration History
201220142016201820202022202420262 FIRMS2011 - 2014 (2 years)2 FIRMS2020 - Present (5 years)
License(s)

State Registrations

B
Alabama 3/26/2020
B
Missouri 6/20/2023
B
Arizona 4/14/2020
B
New Jersey 3/26/2020
B
California 3/27/2020
B
New York 4/10/2020
B
Colorado 3/27/2020
B
North Carolina 3/27/2020
B
Connecticut 3/30/2021
B
Ohio 4/22/2020
B
Delaware 3/31/2020
B
Pennsylvania 6/22/2021
B
District of Columbia 3/31/2020
B
South Carolina 3/27/2020
IA
District of Columbia 3/31/2020
B
Tennessee 3/27/2020
B
Florida 3/27/2020
B
Texas 3/26/2020
B
Georgia 3/27/2020
IA
Texas 3/26/2020
B
Illinois 4/8/2020
B
Utah 3/22/2023
B
Kentucky 3/27/2020
B
Virginia 3/23/2020
B
Louisiana 3/27/2020
IA
Virginia 2/14/2022
B
Maryland 3/27/2020
B
Wisconsin 7/15/2021
B
Massachusetts 3/27/2020

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)
1747 Pennsylvania Ave NW Suite 900, Washington, DC 20006
Registered with this firm since 3/26/2020
B
MORGAN STANLEY (CRD#:149777)
1747 Pennsylvania Ave NW Suite 900, Washington, DC 20006
Registered with this firm since 3/16/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/10/2011 - 03/20/2014 ALLIANCEBERNSTEIN L.P. (CRD#:108477) WASHINGTON, DC
B
 10/10/2011 - 03/20/2014 SANFORD C. BERNSTEIN & CO., LLC (CRD#:104474) WASHINGTON, DC
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.