Kimberly Michele Caggiano

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2024-05-03
RI	RA	APPROVED	2022-11-01

TX RA
APPROVED_RES

Since 2024-05-03
RI RA
APPROVED

Since 2022-11-01

Branch Locations

One Financial Plaza 19Th Floor, Providence, RI 02903 • United States

Disclosures

1 disclosure category 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 No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Quincy	MA	01/2013	10/2022
Bank Of America, N.A.	Quincy	MA	04/2013	10/2022
Morgan Stanley Smith Barney Llc	Providence	RI	10/2022	Present
Morgan Stanley Private Bank, N.A	New York	NY	12/2022	Present

01/2013 → 10/2022

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Quincy, MA
04/2013 → 10/2022

Bank Of America, N.A.

Quincy, MA
10/2022 → Present

Morgan Stanley Smith Barney Llc

Providence, RI
12/2022 → Present

Morgan Stanley Private Bank, N.A

New York, NY

Previous Registrations

2013-07-03 → 2022-10-25

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hingham, MA

Providence, RI

Providence, RI

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2013-06-20
S63	Uniform Securities Agent State Law Examination	1997-11-17

S65 Uniform Investment Adviser Law Examination

2013-06-20
S63 Uniform Securities Agent State Law Examination

1997-11-17

Other Names

Kimberly Michele Demarco

View on SEC IAPD