Phone:
(408) 947-2281(408) 947-2281
Rothstein Michaels Group at Morgan Stanley
Direct:
(408) 947-2200(408) 947-2200
Our Mission Statement
Experience, intellectual capital and dedicated personal service to help you meet your life goals
Our Story and Services
As your Financial Advisors, we can help you define and strive to meet your goals by delivering a vast array of resources to you in the way that is most appropriate for how you invest and what you want to achieve. Working together we can help you to preserve and grow your wealth. You’ll have access to some of the world’s most seasoned and respected investment professionals, a premier trading and execution platform and a full spectrum of investment choices.
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*
Working With You
As your dedicated wealth management team, our role is to tailor a personalized financial strategy which fits your needs. In our experience working with clients, we have developed a step-by-step approach to service.
Discovery Process
We take the time to fully understand you and your family. Whether you're planning for retirement, purchasing a home, or living out your golden years - we consider all of your challenges, goals, and aspirations when building your financial picture.
Forming Your Strategy
Using your life goals as our compass, we create a risk-balanced strategy which maps a clear path to achieving your success.
Implementing Your Plan
We apply extensive research and analysis, and also utilize Morgan Stanley's full suite of resources, to ensure swift decisive action in all market scenarios.
Measuring Your Success
We check in with you to deliver metrics around your portfolio, and ultimately measure trajectory towards your goals. Our ultimate mission is your success and well-being.
ALIGNING YOUR INVESTMENTS WITH YOUR VALUES
Now more than ever, investors of all demographics are seeking new and meaningful ways to create positive economic, social and environmental impact through the investments they make in their portfolio.
This discipline is often referred to as "Impact Investing", "Sustainable Investing" and "Socially-Responsible Investing". It focuses on aligning financial goals - which are driven by economic fundamentals - with impact goals - which are driven by personal values and mission.
This discipline is often referred to as "Impact Investing", "Sustainable Investing" and "Socially-Responsible Investing". It focuses on aligning financial goals - which are driven by economic fundamentals - with impact goals - which are driven by personal values and mission.
Screening Out
Managing exposure to particular investments by intentionally avoiding those that generate income from objectionable activities, sectors or geographies.
Screening In
Focusing on themes and sectors dedicated to solving sustainability-related domestic and global challenges.
ESG Integration
Proactively considering Environmental, Social and Governance (ESG) criteria when identifying opportunities and risks during the investment selection process.
Direct Investments
Investing directly in private enterprises that are structured to deliver specific positive social and/or environmental.
Investor Resources
Our comprehensive suite of digital tools are designed to help enhance every aspect of your financial life. Below are a few of the technologies we have to offer our clients. We have also included recourses meant to transform complex financial analysis and research into concise and easily digestible content.
Thoughts on the Market with Andrew Sheets
Each week, Chief Cross-Asset Strategist Andrew Sheets, or a member of his team, shares podcasts offering perspective on the forces shaping the markets as well as insights on investment opportunities and risk across global asset classes. Click the link below to listen to the latest edition.
Listen Here
Global Investment Committee: On The Markets
A monthly publication that summarizes the Global Investment Committee’s market outlook and contains thought-provoking essays that examine the forces shaping the investment landscape. Check out the latest edition below.
Learn More
The Global Investment Committee Weekly
Weekly insights into global markets, asset classes and economic trends from the Global Investment Committee, Morgan Stanley’s team of seasoned investment professionals.
Learn More
2024 Federal Income Tax Tables
Each year, the tax bill highlights how significantly taxes can impact your journey toward your financial goals — and highlights the value of integrating tax-efficient strategies into your investment process.
As tax filing deadlines approach, you can prepare with the updated 2024 tax tables.
Learn MoreAs tax filing deadlines approach, you can prepare with the updated 2024 tax tables.
Upcoming Firm Events
The Lessons in Leadership Virtual Event Series will continue throughout 2025 . Check back soon for details on upcoming events.
Online
Location
225 W Santa Clara St
Suite 900
San Jose, CA 95113
US
Direct:
(408) 947-2200(408) 947-2200
Meet Rothstein Michaels Group
Shannon Michaels
Financial Advisor
Phone:
(408) 947-2284(408) 947-2284
Roberta Arakaki
Portfolio Associate
Phone:
(408) 947-3705(408) 947-3705
About Rita Rothstein
Securities Agent: KY, IL, WY, NV, NJ, TX, NY, OH, SC, KS, GA, CT, AZ, OR, LA, WA, VA, NC, UT, MI, CO, CA, TN, ID, HI, WI, MT; General Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 1321583
NMLS#: 1321583
About Shannon Michaels
Securities Agent: NJ, CA, MT, LA, CT, WA, GA, TN, OR, NY, AZ, OH, VA, IL, CO, UT, NV, KS, HI, TX, KY, WI, SC, MI, WY, NC, ID; General Securities Representative; Investment Advisor Representative
NMLS#: 2446324
NMLS#: 2446324
About Roberta Arakaki
This role cannot solicit or provide investment advice.
Contact Rita Rothstein
Contact Shannon Michaels
Wealth Management
Global Investment Office
Portfolio Insights
Retirement
Working with you to understand your life goals and develop a personalized wealth strategy. Today and for the years to come.
- 401(k) Rollovers
- IRA Plans
- Retirement income strategies
- Retirement plan participants
- Annuities
A Simple Six-Step Retirement Checkup
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Investing
Working closely with you to guide your wealth and investments through the most challenging market cycles.
- Asset Management
- Wealth Planning
- Traditional Investments
- Alternative Investments
- Impact Investing
The Robots are Coming
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Family
Creating customized financial strategies for the challenges that today’s families face.
- Estate Planning Strategies
- 529 Plans / Education Savings Planning
- Long Term Care Insurance
- Special Needs Planning
- Trust Services
529 Plans: A Powerful Tool to Save for Education
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Business Planning
Helping you on key aspects of your business such as ownership, liquidity and developing opportunities.
- Succession Planning
- Business Planning
- Qualified Retirement Plans
Financial Planning for Life After Selling a Business
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Philanthropy
Making sure your philanthropic dollars are managed with the same high quality service as the rest of your wealth.
- Endowments
- Foundations
- Donor Advised Funds
- Impact Investing
Ready to start a conversation? Contact Rothstein Michaels Group today.
Check the background of our Firm and Investment Professionals on FINRA's BrokerCheck*.
The information, products and services described here are intended only for individuals residing in states where this Financial Advisor is properly registered as described in this site.
Morgan Stanley reserves the right, to the extent permitted under applicable law, to retain and monitor all electronic communications. Morgan Stanley will not accept purchase or sale orders via any Internet site, social media site and/or its messaging systems. Morgan Stanley does not endorse and is not responsible and assumes no liability for content, products or services posted by third-parties on any Internet site, social media site and/or its messaging systems. All electronic communications are subject to terms available at the following link:
https://www.morganstanley.com/disclaimers/mswm-email.html. Any profiles and associated content are for U.S. residents only.
The securities/instruments, services, investments and investment strategies discussed in this material may not be appropriate for all investors. The appropriateness of a particular investment, investment strategy or service will depend on an investor's individual circumstances and objectives. Morgan Stanley Smith Barney LLC recommends that investors independently evaluate particular investments, strategies and services, and encourages investors to seek the advice of a Financial Advisor or Private Wealth Advisor. This material does not provide individually tailored investment advice. It has been prepared without regard to the individual financial circumstances and objectives of persons who receive it.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Individuals should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”) is not implying an affiliation, sponsorship, endorsement with/of the third party or that any monitoring is being done by Morgan Stanley of any information contained within the website. Morgan Stanley is not responsible for the information contained on the third-party website or the use of or inability to use such site. Nor do we guarantee their accuracy or completeness.
The views, opinions or advice contained within third party websites or materials are solely those of the author, who is not a Morgan Stanley employee, and do not necessarily reflect those of Morgan Stanley Smith Barney LLC, or its affiliates. The strategies and/or investments referenced may not be appropriate for all investors as the appropriateness of a particular investment or strategy will depend on an investor's individual circumstances and objectives.
*References to length of service at Morgan Stanley include years at Morgan Stanley and predecessor firms.
Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and federally registered CFP (with flame design) in the U.S, which it awards to individuals who successfully complete CFP Board’s initial and ongoing certification requirements.
The use of the CDFA designation does not permit the rendering of legal advice by Morgan Stanley or its Financial Advisors which may only be done by a licensed attorney. The CDFA designation is not intended to imply that either Morgan Stanley or its Financial Advisors are acting as experts in this field.
Awards Disclosures
The information, products and services described here are intended only for individuals residing in states where this Financial Advisor is properly registered as described in this site.
Morgan Stanley reserves the right, to the extent permitted under applicable law, to retain and monitor all electronic communications. Morgan Stanley will not accept purchase or sale orders via any Internet site, social media site and/or its messaging systems. Morgan Stanley does not endorse and is not responsible and assumes no liability for content, products or services posted by third-parties on any Internet site, social media site and/or its messaging systems. All electronic communications are subject to terms available at the following link:
https://www.morganstanley.com/disclaimers/mswm-email.html. Any profiles and associated content are for U.S. residents only.
The securities/instruments, services, investments and investment strategies discussed in this material may not be appropriate for all investors. The appropriateness of a particular investment, investment strategy or service will depend on an investor's individual circumstances and objectives. Morgan Stanley Smith Barney LLC recommends that investors independently evaluate particular investments, strategies and services, and encourages investors to seek the advice of a Financial Advisor or Private Wealth Advisor. This material does not provide individually tailored investment advice. It has been prepared without regard to the individual financial circumstances and objectives of persons who receive it.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Individuals should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”) is not implying an affiliation, sponsorship, endorsement with/of the third party or that any monitoring is being done by Morgan Stanley of any information contained within the website. Morgan Stanley is not responsible for the information contained on the third-party website or the use of or inability to use such site. Nor do we guarantee their accuracy or completeness.
The views, opinions or advice contained within third party websites or materials are solely those of the author, who is not a Morgan Stanley employee, and do not necessarily reflect those of Morgan Stanley Smith Barney LLC, or its affiliates. The strategies and/or investments referenced may not be appropriate for all investors as the appropriateness of a particular investment or strategy will depend on an investor's individual circumstances and objectives.
*References to length of service at Morgan Stanley include years at Morgan Stanley and predecessor firms.
Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and federally registered CFP (with flame design) in the U.S, which it awards to individuals who successfully complete CFP Board’s initial and ongoing certification requirements.
The use of the CDFA designation does not permit the rendering of legal advice by Morgan Stanley or its Financial Advisors which may only be done by a licensed attorney. The CDFA designation is not intended to imply that either Morgan Stanley or its Financial Advisors are acting as experts in this field.
Awards Disclosures
CRC 6491812 (04/2024)