Alexandra C. Roldan
Professional summary
Alexandra Catiria Roldan, who also goes by Alexandra C Roldan, Alexandra Roldan, is a registered financial professional currently at MORGAN STANLEY & CO. LLC located in New York, New York.
Alexandra is registered as a RR (Registered Representative) and started their career in finance in 2014. Alexandra has worked at 4 firms and has passed the Series 99TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alexandra Catiria Roldan's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 10, 2023 - Present
MORGAN STANLEY & CO. LLC
Office #1: 1585 Broadway, New York, NY 10036-8293November 26, 2019 - November 26, 2019
UBS SECURITIES LLC
November 26, 2019 - April 10, 2023
UBS FINANCIAL SERVICES INC.
November 20, 2018 - September 24, 2019
J.P. MORGAN SECURITIES LLC
February 26, 2018 - November 13, 2018
UBS FINANCIAL SERVICES INC.
January 4, 2017 - February 6, 2017
J.P. MORGAN SECURITIES LLC
February 25, 2014 - April 29, 2015
J.P. MORGAN SECURITIES 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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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