Michael Francis Romagnolo

CRD 2225807 · Morgan Stanley · Boca Raton, FL

IA RegisteredBroker

Also appears in the source record as: Mike Romagnolo

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63SIESeries 7Series 6
Registered states (37): Alabama · Arizona · Arkansas · California · Colorado · Connecticut · District Of Columbia · Florida · Georgia · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Montana · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Virginia · Wisconsin
Years in the industry (source record): 34
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

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 (13)

From the source registration record · current first

Morgan StanleyCurrent
Boca Raton, FL · IA capacity

Oct 22, 2021 → present
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Feb 19, 2016 → Oct 25, 2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Feb 19, 2016 → Oct 25, 2021
Ubs Financial Services Inc.
IA capacity

Feb 9, 2009 → Mar 1, 2016
Ubs Financial Services Inc.
BD capacity

Jan 23, 2009 → Mar 1, 2016
Wachovia Securities, LLC
IA capacity

Jul 23, 2003 → Jan 28, 2009
Wachovia Securities, LLC
BD capacity

Jul 16, 2003 → Jan 28, 2009
Morgan Stanley Dw Inc.
BD capacity

Dec 6, 2001 → Jul 16, 2003
Morgan Stanley
IA capacity

Dec 6, 2001 → Jul 16, 2003
Banc Of America Investment Services, Inc.
BD capacity

Jan 1, 1998 → Dec 13, 2001
Nationssecurities
BD capacity

Sep 1, 1994 → Jan 1, 1998
Aetna Investment Services, Inc.
BD capacity

Oct 15, 1993 → Aug 22, 1995
Aetna Life Insurance And Annuity Company
BD capacity

Apr 6, 1992 → Oct 15, 1993

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2225807 ↗ FINRA BrokerCheck record for CRD 2225807 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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