HR
HR
Hercules Rosario is a registered investment advisor at Morgan Stanley, based in Oakland, CA, with 11 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
Loading...
Location
1999 Harrison Street, Suite 2200, Oakland, CA, 94612
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2022Denied
Employment History
Current Registrations
Morgan Stanley
May 2022 - Present · 4 yrs 4 mos
Morgan StanleyBroker
May 2022 - Present · 4 yrs 4 mos
Previous Registrations
J.P. Morgan Securities LLC
October 2016 - May 2022 · 5 yrs 7 mos
J.P. Morgan Securities LLCBroker
October 2016 - May 2022 · 5 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 2015 - October 2016 · 1 yr 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 2014 - October 2016 · 1 yr 10 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.