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Caroline Louise Guy

Morgan Stanley

Birmingham, AL

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2022-10-31
TX RA APPROVED 2021-10-12
TN RA APPROVED 2021-07-14
  • AL RA
    APPROVED
    Since 2022-10-31
  • TX RA
    APPROVED
    Since 2021-10-12
  • TN RA
    APPROVED
    Since 2021-07-14

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
OrganizationCityStateFromTo
Wells Fargo Advisors Memphis TN 06/2013 11/2016
Wells Fargo Clearing Services, Llc Memphis TN 11/2016 04/2021
Morgan Stanley Smith Barney Llc Mobile AL 04/2021 06/2025
Morgan Stanley Smith Barney Llc Birmingham AL 06/2025 Present
  • 06/2013 → 11/2016
    Wells Fargo Advisors
    Memphis, TN
  • 11/2016 → 04/2021
    Wells Fargo Clearing Services, Llc
    Memphis, TN
  • 04/2021 → 06/2025
    Morgan Stanley Smith Barney Llc
    Mobile, AL
  • 06/2025 → Present
    Morgan Stanley Smith Barney Llc
    Birmingham, AL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-07-03
S63 Uniform Securities Agent State Law Examination 2011-06-10
  • S66 Uniform Combined State Law Examination
    2021-07-03
  • S63 Uniform Securities Agent State Law Examination
    2011-06-10
Other Names
  • Caroline Louise Holcomb

View on SEC IAPD

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