Benjamin M. Rockwell
Professional summary
Benjamin Michael Rockwell, who also goes by Benjamin Michael Rockwell, Benjamin M Rockwell, is a registered financial professional currently at MORGAN STANLEY & CO. LLC located in San Francisco, California.
Benjamin is registered as a RR (Registered Representative) and started their career in finance in 2013. Benjamin has worked at 3 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Michael Rockwell's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 28, 2021 - Present
MORGAN STANLEY & CO. LLC
Office #1: 555 California Street, San Francisco, CA 94104January 20, 2016 - April 9, 2021
J.P. MORGAN SECURITIES LLC
December 11, 2013 - December 22, 2015
RBC CAPITAL 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
(5/28/2021)
(5/28/2021)
Exams
FINRA
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
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