Rocco M Neis
Investment adviser representative at Morgan Stanley
10 yearsExperience
3 statesRegistered in
$2TFirm assets
17 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissionsPerformance-basedOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
10 years in the industry.
- Morgan StanleyFeb 2022 to now
- Morgan Stanley Smith Barney LLCJan 2022 to now
- New York Department of EducationSep 2019 to now
- Richmond County OfficialsSep 2017 to now
- Morgan Stanley Smith Barney LLCJun 2021 to Sep 2021
- Allstate Insurance Co.Feb 2021 to Apr 2021
- Equitable Advisors, LLCAug 2020 to Jan 2021
- Keller Williams Realty Staten IslandOct 2018 to Jun 2021
- P&g AssociatesJun 2018 to Oct 2018
- Mcd PartnersApr 2018 to Jun 2018
- John Tapinis & Associates LtdJan 2018 to Apr 2018
- Wohl & OmaraJun 2017 to Dec 2017
- College Staten IslandJan 2017 to May 2018
- Imowitz Koenig & Co LLCJun 2016 to Dec 2016
Exams passed
- Series 66 · Uniform Combined State Law2020
State registrations
Registered as an investment adviser representative in 3 states (NJ, NY, TX).
Morgan Stanley
Legal name: Morgan Stanley Smith Barney LLC
$2TAssets managed
2,703,720Clients
23,165Advisers
17 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7284648
- Firm CRD
- 149777