William H. Caine

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2022-01-24
AL	RA	APPROVED	2009-06-01

TX RA
APPROVED_RES

Since 2022-01-24
AL RA
APPROVED

Since 2009-06-01

Branch Locations

740 Shades Creek Parkway, Birmingham, AL 35209 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley Smith Barney Llc	Birmingham	AL	06/2009	Present
Morgan Stanley Private Bank, N.A.	New York	NY	01/2015	Present

06/2009 → Present

Morgan Stanley Smith Barney Llc

Birmingham, AL
01/2015 → Present

Morgan Stanley Private Bank, N.A.

New York, NY

Previous Registrations

2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Birmingham, AL
2004-01-12 → 2007-04-02

Morgan Stanley Dw Inc.

Birmingham, AL

Birmingham, AL
2003-01-13 → 2004-01-12

Ubs Financial Services Inc.

Atlanta, GA

Other Businesses

1. AMBASSADOR WITH THE BIRMINGHAM CHAMBER OF COMMERCE*** 3. Trust ; Investment Related ; Birmingham, AL ; Trustee ; Oct 2018 ; During Business Hours : 1 ; After Business Hours: 2 4. *406354 - Estate; Investment related - Yes; Birmingham, Alabama; Executor; 11/2020; During business hours: 1; After business hours: 0; 5. *504245 : Estate ; Investment related : Yes ; Vestavia Hills ; Alabama ; Estate ; Executor/Co-Executor ; 6/2022 ; During business hours : 1 ; After business hours : 5 ; 6. *567164 - KMV Land Holdings LLC ; Investment related -Yes ; Birmingham, Alabama ; Real Estate ; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent) ; 10/2021 ; During business hours : 0 ; After business hours : 1 ; Administrative: Check Signing/Funds Disbursements *567166 - KMV Properties LLC ; Investment related - Yes ; Birmingham,Alabama ; Rental Property ; Sole Proprietor/Owner(proprietor, partner, officer, director, employee, trustee, agent) ; 9/2021 ; During business hours : 0 ; After business hours : 1 ; Administrative:Check Signing/Funds Disbursements *615755 - KMV Land Holdings; Investment related: Yes; Birmingham, Alabama; Agriculture; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 10/2021; During business hours: 0; After business hours: 0.5; Property Management

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-06-14

S66 Uniform Combined State Law Examination

2002-06-14

View on SEC IAPD