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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Rocco is a financial advisor with Morgan Stanley. John has been in the financial industry since 1995 and has experience with Morgan Stanley and other firms such as MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and TAGLICH BROTHERS, D'AMADEO, WAGNER & CO., INC.. John holds Series 7, 31, and 63 licenses, as well as the SIE and Series 65 certifications. John's specializations include investment clubs, insurance companies, investment companies, charitable organizations, high-net-worth individuals, banking or thrift institutions, pension and profit-sharing plans, corporations or other businesses, individuals other than high-net-worth, state or municipal government entities, and asset allocation advice.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
06/01/2009 - Present
Morgan Stanley (New York NY)
NY
11/14/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
12/14/1995 - 11/18/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
03/13/1995 - 06/02/1997
TAGLICH BROTHERS, D'AMADEO, WAGNER & CO., INC. (COLD SPRING HARBOR NY)
NY
08/01/1995 - 08/24/1995
OPPENHEIMER & CO., INC. (NEW YORK NY)
IA
Issued 12/26/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/10/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 03/11/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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