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RIA / WealthAdvisordual registered (broker-dealer)44 years in industry

KEVIN SCOTT ROOKER

Advisor at MORGAN STANLEY

Dallas, TX

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 4, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MORGAN STANLEY
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 30, 1981earliest registration or exam on IAPD
Years in industry: 44derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Dec 30, 1981
First registration: Aug 4, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 1017897

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MORGAN STANLEY	Wirehouse	Jan 2, 2015	n/a	yes	Dallas, TX	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 2, 2011	Jan 5, 2015	no	DALLAS, TX	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Feb 13, 2009	May 6, 2011	no	HOUSTON, TX\|DALLAS, TX\|FORT MILL, SC	Previous registration
AMERIPRISE ADVISOR SERVICES, INC.	n/a	Jan 12, 2006	Feb 21, 2008	no	KANSAS CITY, MO\|KANSAS CITY, MO\|KANSAS CITY, MO	Previous registration
BANC ONE SECURITIES CORPORATION	n/a	Aug 19, 2004	Mar 16, 2005	no	HOUSTON, TX	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Aug 4, 2003	Mar 14, 2005	no	HOUSTON, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY	Jan 5, 2015	Jan 2, 2015	-3	Firm change	Wirehouse to wirehouse
LPL FINANCIAL LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 6, 2011	May 2, 2011	-4	Firm change	Other
AMERIPRISE ADVISOR SERVICES, INC.	LPL FINANCIAL LLC	Feb 21, 2008	Feb 13, 2009	358	Firm change	Other
BANC ONE SECURITIES CORPORATION	AMERIPRISE ADVISOR SERVICES, INC.	Mar 16, 2005	Jan 12, 2006	302	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	BANC ONE SECURITIES CORPORATION	Mar 14, 2005	Aug 19, 2004	-207	Firm change after gap	Other

Relationships

Registered with (6)

→ MORGAN STANLEYRegistered adviserregistration: current employment
Jan 2, 2015 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
May 2, 2011 to Jan 5, 2015factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Feb 13, 2009 to May 6, 2011factForm ADV
→ AMERIPRISE ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Jan 12, 2006 to Feb 21, 2008factForm ADV
→ BANC ONE SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Aug 19, 2004 to Mar 16, 2005factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Aug 4, 2003 to Mar 14, 2005factForm ADV

Dated events

No dated event names this entity yet.