RF
Roger S. Froehlich
MORGAN STANLEY DISTRIBUTION
New York, NY 10036
Some features on this profile are disabled
CRD#: 2579494
RF
Professional summary
Roger Scott Froehlich, who also goes by R. Scott Froehlich, is a registered financial professional currently at MORGAN STANLEY DISTRIBUTION, INC. located in New York, New York.
Roger is registered as a RR (Registered Representative) and started their career in finance in 2000. Roger has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
R. Scott Froehlich
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Roger Scott Froehlich's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 22, 2025 - Present
MORGAN STANLEY DISTRIBUTION, INC.
Office #1: 1585 Broadway, New York, NY 10036BD
CRD#: 30344
New York, NY
Past
June 27, 2024 - October 8, 2024
BROOKFIELD SECURITIES LLC
BD
CRD#: 327792
New York, NY
Past
June 10, 2024 - August 15, 2025
BROOKFIELD PRIVATE ADVISORS LLC
BD
CRD#: 151423
NEW YORK, NY
Past
March 29, 2018 - November 27, 2023
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
NEW YORK, NY
Past
July 14, 2015 - March 29, 2018
EATON PARTNERS, LLC
BD
CRD#: 31170
ROWAYTON, CT
Past
March 8, 2000 - April 17, 2000
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK CITY, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/25/2025)
RR
Alaska(8/27/2025)
RR
Arizona(8/25/2025)
RR
Arkansas(9/3/2025)
RR
California(8/22/2025)
RR
Colorado(8/25/2025)
RR
Connecticut(8/22/2025)
RR
Delaware(8/25/2025)
RR
Florida(8/25/2025)
RR
Georgia(8/25/2025)
RR
Hawaii(8/25/2025)
RR
Idaho(8/22/2025)
RR
Illinois(8/26/2025)
RR
Indiana(8/25/2025)
RR
Iowa(8/25/2025)
RR
Kansas(8/25/2025)
RR
Kentucky(8/25/2025)
RR
Louisiana(8/25/2025)
RR
Maine(8/25/2025)
RR
Maryland(8/28/2025)
RR
Massachusetts(8/25/2025)
RR
Michigan(8/26/2025)
RR
Minnesota(8/25/2025)
RR
Mississippi(8/26/2025)
RR
Missouri(8/25/2025)
RR
Montana(8/27/2025)
RR
Nebraska(8/25/2025)
RR
Nevada(8/24/2025)
RR
New Hampshire(9/5/2025)
RR
New Jersey(8/25/2025)
RR
New Mexico(8/25/2025)
RR
New York(8/24/2025)
RR
North Carolina(8/25/2025)
RR
North Dakota(8/25/2025)
RR
Ohio(8/28/2025)
RR
Oklahoma(8/25/2025)
RR
Oregon(8/22/2025)
RR
Pennsylvania(8/25/2025)
RR
Rhode Island(8/25/2025)
RR
South Carolina(8/25/2025)
RR
South Dakota(8/25/2025)
RR
Tennessee(8/25/2025)
RR
Texas(8/22/2025)
RR
Utah(8/22/2025)
RR
Vermont(8/25/2025)
RR
Virginia(8/25/2025)
RR
Washington(8/28/2025)
RR
West Virginia(8/25/2025)
RR
Wisconsin(8/26/2025)
RR
Wyoming(8/25/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 5/5/2022
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MS
MORGAN STANLEY DISTRIBUTION, INC.
MAS FUND DISTRIBUTION, INC. | MORGAN STANLEY DISTRIBUTION, INC.
CRD#: 30344 / SEC#: , 8-44766
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1585 Broadway, New York, NY 10036
Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231
Phone number
(212) 296-7860
Established
Pennsylvania since 02/28/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY INVESTMENT MANAGEMENT INC. | OWNER | |
| FAHEY, LAWRENCE LOUIS | PRINCIPAL OPERATIONS OFFICER | 2097212 |
| KASETA, LYNN M | CHIEF COMPLIANCE OFFICER | 6451373 |
| KUSH, ANTHONY N | PRINCIPAL FINANCIAL OFFICER AND FINOP | 7463692 |
| MCMULLEN, FREDERICK ALLEN | DIRECTOR AND TEXAS DESIGNATED PRINCIPAL | 2537409 |
| SCHOEN, SAMANTHA JANE | DIRECTOR | 7006907 |
| WITKOS, MATTHEW JOSEPH | PRESIDENT AND DIRECTOR | 2034689 |
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.
