Richard Gerard Carriere

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-04-02
RI	RA	APPROVED	2009-06-01

TX RA
APPROVED_RES

Since 2020-04-02
RI RA
APPROVED

Since 2009-06-01

Branch Locations

One Financial Plaza 19Th Floor, Providence, RI 02903 • 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
Citigroup Global Markets Inc.	Providence	RI	02/1998	Present
Morgan Stanley Smith Barney	Providence	RI	06/2009	Present
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	Present

02/1998 → Present

Citigroup Global Markets Inc.

Providence, RI
06/2009 → Present

Morgan Stanley Smith Barney

Providence, RI
01/2015 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

1998-05-26 → 2009-06-01

Citigroup Global Markets Inc.

Providence, RI

Providence, RI

Other Businesses

THE HOLY SPIRIT CENTER,LLC,OWNER;NOT INVESTMENT RELATED;START DATE:10/2016;DURING BUSINESS HOURS-0,AFTER BUSINESS HOURS-2;NORTH SMITHFIELD RI *598728 - Bryant University; Investment related: No; Smithfield, Rhode Island; Education; Advisory Board(proprietor, partner, officer, director, employee, trustee, agent); 6/2024; During business hours: 6; After business hours: 0; studing the feasibility of starting an Insurance Risk Management Major

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-05-08
S63	Uniform Securities Agent State Law Examination	1998-05-01

S65 Uniform Investment Adviser Law Examination

1998-05-08
S63 Uniform Securities Agent State Law Examination

1998-05-01

View on SEC IAPD