Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Victor? Claim Your ProfileVictor Josef Roccki is a financial advisor at Morgan Stanley. Victor has been in the industry since May 1989 and has held registrations in both New Jersey and Texas. Victor has a diverse background in the industry, with prior experience at Citigroup Global Markets Inc. and Lehman Brothers Inc. Victor holds a wide range of securities licenses, including the Series 3, 7, and 63 exams as well as the SIE and Series 65 exams. Victor also has extensive experience in providing financial planning, asset allocation advice, pension consulting, and portfolio management services to a variety of clients.
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
NJ
04/02/2020 - Present
Morgan Stanley (Red Bank NJ)
NJ
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (RED BANK NJ)
NY
05/23/1989 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 05/18/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/06/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/26/1989
Series 3 - National Commodity Futures Examination
BC
Issued 05/20/1989
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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