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Arthur Edward Rozema

Morgan Stanley

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About Arthur Edward Rozema

Arthur Rozema is a financial advisor with over 30 years of experience in the industry. Arthur is currently registered with Morgan Stanley, where Arthur provides financial planning, portfolio management, and asset allocation advice to individual clients, businesses, investment companies and charitable organizations. Prior to joining Morgan Stanley, Arthur has also worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated, J.J.B. Hilliard, W.L. Lyons, LLC, Robert W. Baird & Co. Incorporated and Northwestern Mutual Investment Services, LLC.

Firm Information

Arthur Rozema is currently registered with Morgan Stanley. Morgan Stanley is a Limited Liability Company based in PURCHASE, NY, formed in 2009. They offer a wide range of advisory services, including financial planning, pension consulting, educational seminars, and selection of other advisors. Their client base includes individuals, high-net-worth individuals, investment clubs, corporations, insurance companies, investment companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. Morgan Stanley manages approximately $10 billion to $50 billion in assets. Their website addresses are HTTP://WWW.MORGANSTANLEYCLIENTSERV.COM and HTTP://WWW.MORGANSTANLEY.COM.
Morgan Stanley

2000 WESTCHESTER AVENUE

PURCHASE, NY 10577-2530

$1.40T

Assets Under Management

335,385

Total Clients

23,624

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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asset allocation advice

Asset allocation advice

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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other

See schedule d miscellaneous

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Arthur Rozema’s Registration & Firm History

KY

04/12/2019 - Present

Morgan Stanley (Louisville KY)

KY

05/21/2018 - 04/08/2019

J.J.B. HILLIARD, W.L. LYONS, LLC (LOUISVILLE KY)

WV

04/16/2015 - 05/09/2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HUNTINGTON WV)

WI

10/06/2004 - 04/07/2015

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

WI

05/24/2005 - 12/31/2005

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)

NY

08/22/1990 - 10/04/2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 02/25/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/27/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/02/2023

Series 24 - General Securities Principal Examination

BC

Issued 07/08/2005

Series 23 - General Securities Principal Sales Supervisor

BC

Issued 11/16/2004

Series 4 - Registered Options Principal Examination

BC

Issued 05/12/1997

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/14/2004

Series 31 - Futures Managed Funds Examination

BC

Issued 08/20/1990

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for Arthur Edward Rozema. Review regulatory record here.
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