Kevin Scott Rooker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (10)

Series 65Series 63Series 9Series 10Series 24Series 8SIESeries 3Series 15Series 7

Registered states (38)

Alabama · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · Florida · Georgia · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maryland · Massachusetts · Michigan · Mississippi · Missouri · Montana · Nebraska · Nevada · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Virginia · Washington · West Virginia

Years in the industry (source record)

45

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

Current firm

From the firm record

Firm

Morgan Stanley

Firm CRD

149777

SEC number

801-70103

Assets under management

$2.0T as of Jun 30, 2026

Website

www.morganstanley.com ↗

Phone

914-225-5510

Firm location

Purchase, NY, 10577-2530

Employment history (14)

From the source registration record · current first

• Morgan StanleyCurrent

  Dallas, TX · IA capacity
  Jan 2, 2015 → present
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  BD capacity
  May 2, 2011 → Jan 5, 2015
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  IA capacity
  May 2, 2011 → Jan 5, 2015
• Lpl Financial LLC

  IA capacity
  Feb 13, 2009 → May 6, 2011
• Lpl Financial LLC

  BD capacity
  Jan 30, 2009 → May 6, 2011
• H&r Block Financial Advisors, Inc.

  BD capacity
  Jan 12, 2006 → Feb 21, 2008
• H&r Block Financial Advisors, Inc.

  IA capacity
  Jan 12, 2006 → Feb 21, 2008
• Banc One Securities Corporation

  BD capacity
  Aug 19, 2004 → Mar 16, 2005
• Banc One Securities Corporation

  IA capacity
  Aug 19, 2004 → Mar 16, 2005
• Chase Investment Services Corp.

  BD capacity
  Aug 4, 2003 → Mar 14, 2005
• Chase Investment Services Corp.

  IA capacity
  Aug 4, 2003 → Mar 14, 2005
• Wachovia Securities, LLC

  BD capacity
  Jul 1, 2003 → Jul 31, 2003
• Prudential Securities Incorporated

  BD capacity
  Dec 12, 2001 → Jul 1, 2003
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  BD capacity
  Oct 22, 1981 → Jan 23, 2002

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.