Carrie K Plos

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Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2012-04-09
IL	RA	APPROVED	2012-03-16

TX RA
APPROVED

Since 2012-04-09
IL RA
APPROVED

Since 2012-03-16

Branch Locations

4225 Naperville Road Suite 255, Lisle, IL 60532 • 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	Lisle	IL	02/2012	Present

02/2012 → Present

Morgan Stanley Smith Barney

Lisle, IL

Previous Registrations

2010-08-04 → 2012-02-21

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Lisle, IL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-10-03

S66 Uniform Combined State Law Examination

2007-10-03

Other Names

Carrie Kristen Smith
Carrie Smith
Carrie Kristen Smith
Carrie Kristen Plos

View on SEC IAPD

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ON INVESTMENT MANAGEMENT CO

VOYA FINANCIAL ADVISORS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

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TIMOTHY RANDOLPH BOECKER

EVANGELINE KATHERINE KANARIS

BRAD RYAN BRONDSEMA

JACOB ROBERT JOHNSTON

Jake Robert White

Scott Nicklaus Sible

Jonah Marcus Beauduy

Other Offices

ADVISORS ASSET MANAGEMENT, INC. · LISLE, IL

ADVYZON INVESTMENT MANAGEMENT, LLC · LISLE, IL

LPL FINANCIAL LLC · LISLE, IL

BLACKWATCH FINANCIAL GROUP, LLC · LISLE, IL

ON INVESTMENT MANAGEMENT CO · Lisle, IL

VOYA FINANCIAL ADVISORS, INC. · LISLE, IL

LPL FINANCIAL LLC · LISLE, IL

AMERIPRISE FINANCIAL SERVICES, LLC · LISLE, IL

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