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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-16
TX RA APPROVED_RES 2014-03-03
  • NY RA
    APPROVED
    Since 2021-06-16
  • TX RA
    APPROVED_RES
    Since 2014-03-03

Branch Locations

55 East 52Nd Street 28Th Floor, New York, NY 10055 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley New York NY 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 10/2015 Present
  • 06/2009 → Present
    New York, NY
  • 10/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-10-11
S63 Uniform Securities Agent State Law Examination 1988-04-05
  • S65 Uniform Investment Adviser Law Examination
    1995-10-11
  • S63 Uniform Securities Agent State Law Examination
    1988-04-05
Other Names
  • Arthur Robert Jr Caruso
  • Arthur Robert Caruso
  • Arthur Caruso Jr.

View on SEC IAPD

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