Kristin Elizabeth Carter

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
DC	RA	APPROVED	2020-12-09
MD	RA	APPROVED	2020-11-30
TX	RA	APPROVED_RES	2020-11-30

DC RA
APPROVED

Since 2020-12-09
MD RA
APPROVED

Since 2020-11-30
TX RA
APPROVED_RES

Since 2020-11-30

Branch Locations

1747 Pennsylvania Ave Nw Suite 900, Washington, DC 20006 • United States

1201 Wills Street Suite 700, Baltimore, MD 21231 • 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 Llc	Baltimore	MD	11/2020	Present
Ubs Financial Services	Baltimore	MD	06/2016	08/2017
Ubs Financial Services	Baltimore	MD	08/2017	11/2020

11/2020 → Present

Morgan Stanley Smith Barney Llc

Baltimore, MD
06/2016 → 08/2017

Ubs Financial Services

Baltimore, MD
08/2017 → 11/2020

Ubs Financial Services

Baltimore, MD

Previous Registrations

2018-05-30 → 2020-12-09

Ubs Financial Services Inc.

Baltimore, MD

Other Businesses

Meals on Wheels, 515 Haven St, Baltimore, MD 21224. Not investment related. This is a charity that delivers meals to homebound people. I am a member of the Board of Directors. I help to make operating decisions, handle event planning, and marketing assistance through board meetings and development committee meetings. Approximately 3 hours a month is devoted to Meals on Wheels. No time is donated during securities trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2018-05-30
S63	Uniform Securities Agent State Law Examination	2018-01-10

S65 Uniform Investment Adviser Law Examination

2018-05-30
S63 Uniform Securities Agent State Law Examination

2018-01-10

View on SEC IAPD