Rocki Walker is a registered investment advisor at Morgan Stanley, based in Tulsa, OK, with 46 years of industry experience. Rocki is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, High Net Worth, Investment Management, Retirement Planning. Their firm serves 2,703,720 clients with $2000B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Morgan Stanley Smith Barney LLC charges a fee for its consulting services, which is generally payable quarterly in advance. The maximum fee for the services is $500,000, and fees are negotiable between the client and their private wealth advisor.
Location
2200 South Utica Place, Suite 500, Tulsa, OK, 74114
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Regulatory History (1)
Customer Dispute
March 2014Other Business Activities
Rocki is a co-owner of a small airplane through Sierra Romeo Planes LLC since 2013. This activity is not investment-related and requires minimal time.
Employment History
Current Registrations
Morgan Stanley
Morgan StanleyBroker
Previous Registrations
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Prudential Securities IncorporatedBroker
Smith Barney INC.Broker
Lehman Brothers INC.Broker
Prudential Securities IncorporatedBroker
Fitzgerald, Dearman & Roberts, INC.Broker
State Registrations37 states
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
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