Stephen Marotto, financial advisor San Francisco CA

Stephen Marotto

CRD Number: 5473140
Current Firm: Morgan Stanley

Stephen Marotto (CRD# 5473140) is an Investment Advisor Representative working at Morgan Stanley in San Francisco, CA and has over 11 years of experience in the finance industry.

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Professional Designations
Company Name Location Dates Years
Morgan Stanley Smith Barney LLC San Francisco, CA Apr 2023 - Current < 1
First Republic Securities Company, LLC San Francisco, CA Apr 2017 - Apr 2023 6
First Republic Investment Management, Inc. San Francisco, CA Apr 2017 - Apr 2023 6
First Republic Securities Company, LLC San Francisco, CA Jan 2013 - Apr 2017 4
First Republic Wealth Advisors San Francisco, CA Jan 2008 - Apr 2017 9
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 2013
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Stephen R. Marotto
Phone Number: 914-225-5510
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    1,185,061
    MILLIONS
  • Total Number of Accounts
    2,233,188
    ACCOUNTS
  • Average Account Value
    $530,659
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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