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Detailed Report
ROSA M OLIVAS
ROSA BARRAZA, ROSA MARIA BARRAZA DIAZ, ROSA DIAZ, Rosa Maria Olivas, Rosa Olivas
CRD#: 6463873
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 400 East Rivulon Boulevard
GILBERT, AZ 85297
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2022 - 2023 (1 year)2 FIRMS2024 - Present (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2020 - 2021 (1 year)BVANGUARD MARKETING CORPORATION (CRD# 7452)2016 - 2019 (2 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2015 - 2016 (1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2021 - 2021 (<1 year)
License(s)

State Registrations

B
Alabama 1/8/2024
B
Nebraska 1/8/2024
B
Alaska 1/8/2024
B
Nevada 1/8/2024
B
Arizona 1/11/2024
B
New Hampshire 1/8/2024
IA
Arizona 1/11/2024
B
New Jersey 1/8/2024
B
Arkansas 1/8/2024
B
New Mexico 1/8/2024
B
California 1/8/2024
B
New York 1/8/2024
B
Colorado 1/8/2024
B
North Carolina 1/8/2024
B
Connecticut 1/8/2024
B
North Dakota 1/8/2024
B
Delaware 1/8/2024
B
Ohio 1/8/2024
B
District of Columbia 1/8/2024
B
Oklahoma 1/8/2024
B
Florida 1/8/2024
B
Oregon 1/8/2024
B
Georgia 1/8/2024
B
Pennsylvania 1/8/2024
B
Hawaii 1/8/2024
B
Puerto Rico 1/8/2024
B
Idaho 1/8/2024
B
Rhode Island 1/8/2024
B
Illinois 1/8/2024
B
South Carolina 1/8/2024
B
Indiana 1/8/2024
B
South Dakota 1/8/2024
B
Iowa 1/8/2024
B
Tennessee 1/8/2024
B
Kansas 1/8/2024
B
Texas 1/8/2024
B
Kentucky 1/8/2024
IA
Texas 1/8/2024
B
Louisiana 1/8/2024
B
Utah 1/8/2024
B
Maine 1/8/2024
B
Vermont 1/8/2024
B
Maryland 1/8/2024
B
Virgin Islands 1/8/2024
B
Massachusetts 1/8/2024
B
Virginia 1/8/2024
B
Michigan 1/8/2024
B
Washington 1/8/2024
B
Minnesota 1/8/2024
B
West Virginia 1/8/2024
B
Mississippi 1/8/2024
B
Wisconsin 1/8/2024
B
Missouri 1/8/2024
B
Wyoming 1/8/2024
B
Montana 1/8/2024

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)
400 East Rivulon Boulevard, GILBERT, AZ 85297
Mesa, AZ
Registered with this firm since 1/8/2024
B
MORGAN STANLEY (CRD#:149777)
400 East Rivulon Boulevard, GILBERT, AZ 85297
Mesa, AZ
Registered with this firm since 1/8/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/10/2022 - 11/14/2023 J.P. MORGAN SECURITIES LLC (CRD#:79) Tempe, AZ
B
 02/10/2022 - 11/14/2023 J.P. MORGAN SECURITIES LLC (CRD#:79) Tempe, AZ
IA
 03/17/2021 - 11/30/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PHOENIX, AZ
B
 11/13/2020 - 11/30/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PHOENIX, AZ
B
 12/09/2016 - 10/25/2019 VANGUARD MARKETING CORPORATION (CRD#:7452) SCOTTSDALE, AZ
B
 04/24/2015 - 11/02/2016 J.P. MORGAN SECURITIES LLC (CRD#:79) MESA, AZ
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.