Helen Rothlein, CIMA®
Executive Director, Financial Advisor, Senior Investment Management Consultant
Phone:
(212) 643-5755(212) 643-5755
The Compass Group at Morgan Stanley
Direct:
(212) 643-5755(212) 643-5755
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.*
Awards and Accolades
Forbes Magazine | Best-In-State Wealth Management Teams | The Compass Group | 2025
Forbes Magazine | Best-In-State Wealth Management Teams | The Compass Group | 2024
Forbes Magazine | Best-in-State Wealth Advisors | Helen Rothlein | 2022
Forbes Magazine | Best-in-State Women Advisors | Helen Rothlein | 2022
Forbes Magazine | America’s Top Women Advisors | Helen Rothlein | 2019-2021
Forbes Magazine | Next Gen Best-in-State Wealth Advisors | Alexander Gorman | 2019
Awards Disclosure
2019 Forbes America’s Top Next-Gen Wealth Advisors & Top Next-Gen Wealth Advisors Best-in-State (formerly referred to as Forbes America's Top Next-Gen Wealth Advisors, Forbes Top 1,000 Next-Gen Wealth Advisors, Forbes Top 500 Next Generation Wealth Advisors)
Source: Forbes.com (2019). Data compiled by SHOOK Research LLC based on 12-month period concluding in Mar of the year the award was issued.
2019-2021 Forbes America's Top Women Wealth Advisors & Forbes Top Women Wealth Advisors Best-In- State (formerly referred to as Forbes Top Women Wealth Advisors, Forbes America's Top Women Wealth Advisors)
Source: Forbes.com (Awarded 2019-2021). Data compiled by SHOOK Research LLC based on 12-month time period concluding in Sept of year prior to the issuance of the award.
Forbes Best-In-State Wealth Advisors
Source: Forbes.com (Awarded Apr 2022) Data compiled by SHOOK Research LLC based on time period from 6/30/20 - 6/30/21.
2019 Forbes America’s Top Next-Gen Wealth Advisors & Top Next-Gen Wealth Advisors Best-in-State (formerly referred to as Forbes America's Top Next-Gen Wealth Advisors, Forbes Top 1,000 Next-Gen Wealth Advisors, Forbes Top 500 Next Generation Wealth Advisors)
Source: Forbes.com (2019). Data compiled by SHOOK Research LLC based on 12-month period concluding in Mar of the year the award was issued.
2019-2021 Forbes America's Top Women Wealth Advisors & Forbes Top Women Wealth Advisors Best-In- State (formerly referred to as Forbes Top Women Wealth Advisors, Forbes America's Top Women Wealth Advisors)
Source: Forbes.com (Awarded 2019-2021). Data compiled by SHOOK Research LLC based on 12-month time period concluding in Sept of year prior to the issuance of the award.
Forbes Best-In-State Wealth Advisors
Source: Forbes.com (Awarded Apr 2022) Data compiled by SHOOK Research LLC based on time period from 6/30/20 - 6/30/21.
Location
1 Penn Plaza
43rd Fl
New York, NY 10119
US
Direct:
(212) 643-5755(212) 643-5755
Meet The Compass Group
Alexander Gorman, CFP®
Senior Vice President, Financial Advisor, Financial Planning Specialist
Phone:
(212) 643-5708(212) 643-5708
Phone:
(212) 643-5771(212) 643-5771
James White
Relationship Manager
Phone:
(212) 643-5782(212) 643-5782
Erin Mershon, CFP®*
Wealth Management Analyst
Phone:
(212) 643-5753(212) 643-5753
James P. Finley
Portfolio Associate
Phone:
(212) 643-5895(212) 643-5895
Nancy Cea
Senior Client Service Associate
Phone:
(212) 643-5807(212) 643-5807
About Helen Rothlein
Helen Rothlein, Executive Director of Wealth Management at Morgan Stanley and Co-Managing Partner as well as Co-Founding Partner of The Compass Group at Morgan Stanley. Helen is a consultant to institutional, individual, and retirement accounts. She holds the title of senior investment management consultant and is the financial advisor to various unions and non-profit organizations. She takes great pride when clients can benefit from her life planning approach, including the implications of various investment strategies relative to estate planning.
Prior to joining Prudential Bache in 1989, Helen was a Vice President at Shearson Lehman (E.F. Hutton), a position she held since 1980. While at Hutton, she earned her Consulting Associate Certificate and is currently a member of the Investment Management Consulting Association and the Association of Professional Investment Consultants (APIC). Helen has earned the designation of Certified Investment Management Consultant from IMCA at the Wharton School of Business and had been named a Senior Investment Management Advisor while at Prudential Securities.
Helen graduated from Hunter College with a Bachelor of Science in Psychology.
Prior to joining Prudential Bache in 1989, Helen was a Vice President at Shearson Lehman (E.F. Hutton), a position she held since 1980. While at Hutton, she earned her Consulting Associate Certificate and is currently a member of the Investment Management Consulting Association and the Association of Professional Investment Consultants (APIC). Helen has earned the designation of Certified Investment Management Consultant from IMCA at the Wharton School of Business and had been named a Senior Investment Management Advisor while at Prudential Securities.
Helen graduated from Hunter College with a Bachelor of Science in Psychology.
Securities Agent: NH, UT, WI, IL, MA, OH, WA, VT, VA, TX, PA, OR, NY, NV, NJ, NC, MI, ME, MD, LA, KS, IN, GA, FL, DC, CT, CO, CA, AZ; General Securities Representative; Investment Advisor Representative; Transactional Futures/Commodities; Managed Futures
NMLS#: 1255299
NMLS#: 1255299
About Alexander Gorman
Alex Gorman is a Senior Vice President of Wealth Management at Morgan Stanley and Co-Managing Partner of The Compass Group at Morgan Stanley. With The Compass Group he focuses on the many aspects of financial planning including working with both sides of the personal balance sheet, assets and liabilities, as well as insurance, including life and long term care.
Alex began his career with Wachovia Securities in 2004 working with Helen Rothlein and James White. In January 2007, Alex joined Morgan Stanley with the rest of the team and became a partner in 2008.
In 2011, he earned the title of Financial Planning Specialist (FPS) and he belongs to the Association of Professional Investment Consultants (APIC). Also, in 2011 Alex completed a financial planning education program and passed the final exam earning him the Certified Financial PlannerTM (CFP) designation.
Alex graduated from Elon University with a Bachelor of Science in Business Administration and a concentration in Finance.
Life insurance, disability income insurance, and long-term care insurance are offered through Morgan Stanley Smith Barney LLC's licensed insurance agency affiliates.
Alex began his career with Wachovia Securities in 2004 working with Helen Rothlein and James White. In January 2007, Alex joined Morgan Stanley with the rest of the team and became a partner in 2008.
In 2011, he earned the title of Financial Planning Specialist (FPS) and he belongs to the Association of Professional Investment Consultants (APIC). Also, in 2011 Alex completed a financial planning education program and passed the final exam earning him the Certified Financial PlannerTM (CFP) designation.
Alex graduated from Elon University with a Bachelor of Science in Business Administration and a concentration in Finance.
Life insurance, disability income insurance, and long-term care insurance are offered through Morgan Stanley Smith Barney LLC's licensed insurance agency affiliates.
Securities Agent: LA, VT, WA, OR, TX, NH, MI, KS, CT, AL, NY, NC, MA, IN, FL, AZ, TN, NJ, DC, UT, RI, OH, NV, ME, MD, GA, SC, PA, CA, IL, CO, WI, VA; General Securities Representative; Investment Advisor Representative
NMLS#: 1255401
NMLS#: 1255401
About Brian Chaszar
Brian Chaszar is an Associate Vice President of Wealth Management and Financial Advisor with The Compass Group at Morgan Stanley. Brian began his career with Wachovia Securities in 2005 as an intern for Helen Rothlein, Alex Gorman and James White. Upon completing his undergraduate studies, he joined Stone Harbor Investment Partners, an institutional asset manager focusing on Multi-Sector Credit, Global High Yield and Emerging Markets Debt strategies. For over 13 years Brian focused on business development and relationship management for institutional clients across the U.S.
Brian graduated from Boston College in Chestnut Hill, MA with a Bachelor of Science in Management and a concentration in Finance. He holds the Series 6, 7, 63 and 66 registrations with FINRA.
Brian graduated from Boston College in Chestnut Hill, MA with a Bachelor of Science in Management and a concentration in Finance. He holds the Series 6, 7, 63 and 66 registrations with FINRA.
Securities Agent: VT, DC, IN, AZ, UT, OH, TX, NJ, CO, MI, WV, RI, PA, NY, NH, MA, WA, VA, ME, OR, MD, CA, KS, GA, DE, LA, IL, CT, WI, NV, NC, FL; General Securities Representative; Investment Advisor Representative
NMLS#: 2033040
NMLS#: 2033040
About Erin Mershon
Erin Mershon began her career at Morgan Stanley as a Wealth Advisor Associate, supporting multiple advisors across Central New Jersey in building financial plans for their clients. In September 2020, Erin earned the Certified Financial Planner (CFP) designation.*
Erin graduated from the University of Delaware with a bachelor’s degree in Financial Planning & Wealth Management. Erin currently resides in Jersey City, NJ. Her favorite leisure activities are cooking, traveling, & exercising.
*This role cannot solicit or provide investment advice
Erin graduated from the University of Delaware with a bachelor’s degree in Financial Planning & Wealth Management. Erin currently resides in Jersey City, NJ. Her favorite leisure activities are cooking, traveling, & exercising.
*This role cannot solicit or provide investment advice
Securities Agent: OH, MA, NY, TX, DE, VT, RI, PA, OK, NJ, NC, ME, IN, IL, FL, CT, CO, CA, AZ; General Securities Representative; Investment Advisor Representative
Contact Helen Rothlein
Contact Alexander Gorman
Contact Brian Chaszar
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
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
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
Are You Prepared for Tax Day?
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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
Donor Advised Funds: A Smart Way to Manage Your Giving
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Ready to start a conversation? Contact The Compass Group today.
Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™, and CFP® (with plaque design) in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.
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
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
CRC 6491812 (04/2024)
