David L. Rothwell
Professional summary
David Lee Rothwell, who also goes by David Lee Rothwell Mr, is a registered financial professional currently at MORGAN STANLEY located in Purchase, New York and MORGAN STANLEY & CO. LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 2005. David has worked at 10 firms and has passed the Series 16 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Lee Rothwell's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 30, 2022 - Present
MORGAN STANLEY
Office #1: 2000 Westchester Avenue, Purchase, NY 10577-2530September 30, 2022 - Present
MORGAN STANLEY & CO. LLC
Office #1: 1585 Broadway, New York, NY 10036September 30, 2022 - September 5, 2023
E*TRADE SECURITIES LLC
June 8, 2016 - September 7, 2022
RBC CAPITAL MARKETS, LLC
April 4, 2011 - December 15, 2014
HSBC SECURITIES (USA) INC.
February 9, 2011 - March 7, 2011
BRICKELL GLOBAL MARKETS, INC.
October 15, 2008 - February 4, 2011
NOMURA SECURITIES INTERNATIONAL, INC.
September 26, 2007 - November 4, 2008
LEHMAN BROTHERS INC.
June 20, 2005 - September 14, 2007
KEEFE, BRUYETTE & WOODS, INC.
March 18, 2005 - June 16, 2005
ING FINANCIAL MARKETS LLC
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
FINRA
NYSE American LLC
New York Stock Exchange
Current Firm
MORGAN STANLEY & CO. LLC
CRD#: 8209 / SEC#: , 8-15869
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
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.
