Rocky Procopio

Rocky Procopio is a Managing Director in the Legal and Compliance Division where he is the Head of Field Compliance for Morgan Stanley Wealth Management as well as the Head of Site Management for the Legal and Compliance Division in Baltimore.  He joined Morgan Stanley in 2009 through the Morgan Stanley Smith Barney joint venture.

He began his career as a Financial Advisor and has spent the last 27 years working with such firms as Smith Barney, Legg Mason, and T. Rowe Price in a succession of leadership roles such as Brokerage Operations Manager, Head of Product Compliance, Head of Surveillance, Head of Registration, and Head of Wealth Management Employee Trading Compliance.

He currently leads an experienced group of Compliance professionals focused on supporting the Morgan Stanley Wealth Management branch network and home office functions providing advisory coverage on strategic initiatives while navigating an evolving and complicated regulatory environment. Rocky currently maintains his series 14, 24, 4, 53, 9, 10, and 7 along with his qualification as a Certified Fraud Examiner (CFE).