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RIA / WealthAdvisordual registered (broker-dealer)45 years in industry

LEE SANDY ROSEN

Advisor at MORGAN STANLEY

Boca Raton, FL

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Search this name across graphsid dfx:ria:ae07c6dc-b77f-3537-d627-1f24aa7c60f7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 14, 2007 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: Mar 20, 1981earliest registration or exam on IAPD
Years in industry: 45derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65|S66
First exam: Mar 20, 1981
First registration: Feb 14, 2007
Dual registered: yes, broker-dealer
IAPD individual key: 717494

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	Apr 24, 2026	n/a	yes	Boca Raton, FL\|Boca Raton, FL	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 16, 2015	Apr 27, 2026	no	MELVILLE, NY\|MELVILLE, NY\|MELVILLE, NY\|Boca Raton, FL\|BOCA RATON, FL	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 20, 2015	no	Jericho, NY	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	JERICHO, NY	Previous registration
MORGAN STANLEY DW INC.	n/a	Feb 14, 2007	Apr 2, 2007	no	JERICHO, NY	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	Apr 27, 2026	Apr 24, 2026	-3	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 20, 2015	Oct 16, 2015	-4	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
149777:7691:NY:2015-10-19	Oct 20, 2015	Oct 16, 2015	JERICHO, NY	Firm change

Relationships

Registered with (4)

→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 20, 2015factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 16, 2015 to Apr 27, 2026factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Feb 14, 2007 to Apr 2, 2007factForm ADV

Dated events

Occurred
Apr 27, 2026
Advisor changed firm
Lee Sandy Rosen left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Morgan Stanley (registered 2026-04-24)
Form ADVobserved 5 days ago