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.
HELPING ACHIEVE YOUR DEFINITION OF SUCCESS
Effective wealth management is both an art and a discipline: the integration of every facet of a family's financial life into a single, coherent framework. Each element is viewed not in isolation, but as part of a broader whole that connects present needs with future intentions.
A thorough review extends well beyond investments and retirement plans. Tax considerations, estate strategies, insurance protection, equity compensation, business succession, and daily cash flow are all evaluated within the context of long-term vision and family continuity.
By understanding how these dimensions interact, guidance becomes balanced, precise, and enduring - aligning structure with the values that give it meaning.
A suite of proprietary platforms enhances our ability to provide clarity, precision, and continuity, Each tool reflects Morgan Stanley's global insight combined with The Rothstein Michaels Group's commitment to understanding and stewardship.
A thorough review extends well beyond investments and retirement plans. Tax considerations, estate strategies, insurance protection, equity compensation, business succession, and daily cash flow are all evaluated within the context of long-term vision and family continuity.
By understanding how these dimensions interact, guidance becomes balanced, precise, and enduring - aligning structure with the values that give it meaning.
A suite of proprietary platforms enhances our ability to provide clarity, precision, and continuity, Each tool reflects Morgan Stanley's global insight combined with The Rothstein Michaels Group's commitment to understanding and stewardship.
LifeView Intelligent Planning
LifeView is a suite of planning tools that includes goal-specific analysis that we can use with our clients to create a holistic strategy that integrates the various aspects of an individual's financial life, including investments and cash management needs.
Goals Planning System
Goals Planning System (GPS) is a Morgan Stanley's own integrated planning tool. Built on the Firm's intellectual capital and capabilities, GPS is an intuitive and efficient platform used to quickly assess whether a client is "On Track" to achieving their financial goals.
Learn More
CashPlus: A Modern Alternative to Banking
With a CashPlus brokerage account, you can manage your cash and get more value, more protection, and a seamless digital experience. Contact us or click here. Terms apply.
Learn More
Portfolio Risk Platform
Our Portfolio Risk Platform, backed by institutional-caliber analytics, assesses thousands of risk factors using a holdings-based approach to assess a portfolio's exposures, analyze how securities behave together across portfolios, and forecast how they influence risk and return moving forward.
Learn MoreInvestor 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
2025 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.
Working with Women
Our approach is designed to support women through change with planning that adapts as priorities, responsibilities, and goals evolve over time.
Loss of a Spouse
Guidance during a period of transition, helping organize financial details, review next steps, and adjust plans as roles and responsibilities change.
Single Parenthood
Planning support that helps balance day-to-day needs with longer-term goals, bringing structure to cash flow, savings, and future priorities.
Children's Education
Thoughtful planning around education funding options and tradeoffs, coordinated with broader family and financial goals.
Divorce
Objective financial planning support to help evaluate options, understand tradeoffs, and establish a new financial foundation moving forward.
Female Executives
Coordination around complex compensation, equity, and benefits, integrated into a broader financial picture.
Caregiving Responsibilities
Planning considerations that account for caregiving demands, evolving expenses, and the need for flexibility over time.
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
Vice President, Wealth Management, 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: NJ, SC, KS, GA, CT, AZ, OR, WA, VA, NC, UT, CO, CA, WY, NV, TX, NY, FL, TN, OH, ID, HI, WI, MT, KY; General Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 1321583
NMLS#: 1321583
About Shannon Michaels
Securities Agent: VA, CO, UT, NV, KS, HI, TX, OH, KY, MT, CT, WA, GA, TN, OR, NY, AZ, WI, SC, MI, WY, NC, ID, FL, CA, NJ; 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
Iran Conflict: Seven Takeaways for Investors
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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 Center for Financial Planning, Inc. owns and licenses the certification marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the United States to Certified Financial Planner Board of Standards, Inc., which authorizes individuals who successfully complete the organization's initial and ongoing certification requirements to use the certification marks.
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 | Morgan Stanley
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 Center for Financial Planning, Inc. owns and licenses the certification marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the United States to Certified Financial Planner Board of Standards, Inc., which authorizes individuals who successfully complete the organization's initial and ongoing certification requirements to use the certification marks.
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 | Morgan Stanley
CRC 4665150 (8/2025)