Rochelle L. Hernandez
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Rochelle Lynn Hernandez, who also goes by Rochelle Lynn Groom, Rochelle Hernandez, Rochelle L Hernandez, was a registered financial professional .
Rochelle is a previously registered financial professional and started their career in finance in 1998. Rochelle had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2024 - May 4, 2026
MORGAN STANLEY
June 3, 2024 - May 4, 2026
MORGAN STANLEY
June 12, 2023 - April 18, 2024
EDWARD JONES
June 12, 2023 - April 18, 2024
EDWARD JONES
February 1, 2021 - June 12, 2023
UBS FINANCIAL SERVICES INC.
February 1, 2021 - June 12, 2023
UBS FINANCIAL SERVICES INC.
February 26, 2020 - January 19, 2021
USCA RIA LLC
February 26, 2020 - January 19, 2021
USCA SECURITIES LLC
December 6, 2010 - February 10, 2020
UBS FINANCIAL SERVICES INC.
December 3, 2010 - February 10, 2020
UBS FINANCIAL SERVICES INC.
June 13, 2007 - December 31, 2008
UBS FINANCIAL SERVICES INC.
February 16, 2007 - December 31, 2008
UBS FINANCIAL SERVICES INC.
November 18, 1998 - February 22, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 22, 1998 - February 22, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 116 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
