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Caroline A Peters

Morgan Stanley

Fort Myers, FL

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-01-21
FL RA APPROVED 2021-01-13
  • TX RA
    APPROVED_RES
    Since 2021-01-21
  • FL RA
    APPROVED
    Since 2021-01-13

Branch Locations

7811 University Pointe Drive Suite 100, Fort Myers, FL 33907 • 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
OrganizationCityStateFromTo
Charles Schwab & Co., Inc. North Naples FL 04/2016 02/2020
Charles Schwab Bank North Naples FL 04/2016 02/2020
Raymond James Financial Services, Inc. Ft. Myers FL 03/2020 11/2020
Raymond James Financial Services Advisors, Inc. Ft. Myers FL 09/2020 11/2020
Morgan Stanley Fort Myers FL 12/2020 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-11-19
S63 Uniform Securities Agent State Law Examination 2008-03-03
  • S65 Uniform Investment Adviser Law Examination
    2014-11-19
  • S63 Uniform Securities Agent State Law Examination
    2008-03-03
Other Names
  • Caroline Ann Abraham
  • Caroline Ann Fay
  • Caroline Ann Morris
  • Caroline A Morris

View on SEC IAPD

Other Firms

STIFEL, NICOLAUS & COMPANY, INCORPORATED
AMERIPRISE FINANCIAL SERVICES, LLC
BANKERS LIFE ADVISORY SERVICES, INC.
UBS FINANCIAL SERVICES INC.
LPL FINANCIAL LLC
SANCTUARY ADVISORS, LLC
TRUIST ADVISORY SERVICES, INC.
CHARLES SCHWAB & CO., INC.

Other Investors

DAVID JONATHAN MORELAND
Elizabeth Diane Scoggins
Devin Reich
WILLIAM CARR WHITE
JACQUELINE ANNETTE WEBSTER
SCOTT MICHAEL KLEIN
JEFFREY STUART MALAVSKY
WILLIAM HERBERT WHITE

Other Offices

STIFEL, NICOLAUS & COMPANY, INCORPORATED · FORT MYERS, FL
AMERIPRISE FINANCIAL SERVICES, LLC · Fort Myers, FL
BANKERS LIFE ADVISORY SERVICES, INC. · Fort Myers, FL
UBS FINANCIAL SERVICES INC. · FORT MYERS, FL
LPL FINANCIAL LLC · FORT MYERS, FL
SANCTUARY ADVISORS, LLC · FORT MYERS, FL
SANCTUARY ADVISORS, LLC · FORT MYERS, FL
TRUIST ADVISORY SERVICES, INC. · FORT MYERS, FL

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