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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

DEREK DAVID ROSENBERG

Advisor at MORGAN STANLEY

Las Vegas, NV

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Search this name across graphsid dfx:ria:e40a47b7-120f-9c6e-a349-3c2e7eefb4f5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Aug 16, 2006 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: Jan 16, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Jan 16, 1998
First registration: Aug 16, 2006
Dual registered: yes, broker-dealer
Other names: DEREK DAVID ROSENBERG|Derek Rosenberg
IAPD individual key: 2976789

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 4, 2025	n/a	yes	Las Vegas, NV	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Nov 30, 2018	Apr 8, 2025	no	Las Vegas, NV\|Las Vegas, NV	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 8, 2010	Dec 4, 2018	no	LAS VEGAS, NV\|LAS VEGAS, NV\|LAS VEGAS, NV\|LAS VEGAS, NV	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Mar 11, 2010	no	Las Vegas, NV	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	LAS VEGAS, NV	Previous registration
MORGAN STANLEY DW INC.	n/a	Aug 16, 2006	Apr 2, 2007	no	LAS VEGAS, NV	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
AMERIPRISE FINANCIAL SERVICES, LLC	MORGAN STANLEY	Apr 8, 2025	Apr 4, 2025	-4	Firm change	Ibd to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	AMERIPRISE FINANCIAL SERVICES, LLC	Dec 4, 2018	Nov 30, 2018	-4	Firm change	Wirehouse to ibd
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 11, 2010	Mar 8, 2010	-3	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
6363:149777:NV:2025-04-07	Apr 8, 2025	Apr 4, 2025	LAS VEGAS, NV	Firm change
7691:6363:NV:2018-12-04	Dec 4, 2018	Nov 30, 2018	LAS VEGAS, NV	Firm change

Relationships

Registered with (5)

→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Mar 11, 2010factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Nov 30, 2018 to Apr 8, 2025factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 8, 2010 to Dec 4, 2018factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Aug 16, 2006 to Apr 2, 2007factForm ADV

Dated events

Occurred
Apr 8, 2025
Advisor changed firm
Derek David Rosenberg left Ameriprise Financial Services, Llc for Morgan Stanley (registered 2025-04-04)
Form ADVobserved 4 days ago