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Roman Faynzilbert

Morgan Stanley & Co. LLC

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About Roman Faynzilbert

Roman Faynzilbert is a financial advisor with over 20 years of experience in the industry. Roman is currently registered with Morgan Stanley & Co. LLC and has held positions with the firm since 2001. Roman has passed the Series 63, Series 7, Series 24 and SIE exams. Roman is currently registered with FINRA and is active in the broker-dealer space.

Firm Information

Roman Faynzilbert is currently registered with Morgan Stanley & Co. LLC. Morgan Stanley & Co. LLC is a Limited Liability Company formed on December 3, 1969. It is registered in 53 states and has one approved SEC registration. The firm has been involved in 471 Regulatory Events, 5 Civil Events, and 54 Arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

462

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.

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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Roman Faynzilbert’s Registration & Firm History

NY

03/13/2019 - Present

Morgan Stanley & Co. LLC (New York NY)

NY

01/31/2001 - 02/22/2017

MORGAN STANLEY & CO. LLC (Purchase NY)

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Licenses & Designations

BC

Issued 05/31/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/21/2015

Series 24 - General Securities Principal Examination

BC

Issued 02/22/2017

SIE - Securities Industry Essentials Examination

BC

Issued 01/30/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for Roman Faynzilbert. Review regulatory record here.
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