Mark Rocca is a registered investment advisor at Morgan Stanley, based in Estero, FL, with 32 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
Estero, FL
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Regulatory History (2)
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Customer Dispute
March 2001Settled
Customer Dispute
February 1999Settled
Employment History
Current Registrations
Morgan Stanley
August 2011 - Present · 14 yrs 11 mos
Morgan StanleyBroker
August 2011 - Present · 14 yrs 11 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 1999 - August 2011 · 12 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 1993 - August 2011 · 18 yrs
State Registrations39 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.