Phillip D Mccarroll

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
UT	RA	APPROVED	2023-06-06
TX	RA	APPROVED_RES	2021-10-11

UT RA
APPROVED

Since 2023-06-06
TX RA
APPROVED_RES

Since 2021-10-11

Branch Locations

Sandy, UT • United States

200 West Civic Center Drive, Sandy, UT 84070 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
E*Trade Securities Llc	Sandy	UT	07/2015	09/2023
E*Trade Capital Management Llc	Sandy	UT	11/2017	09/2023
Morgan Stanley Smith Barney Llc	Sandy	UT	10/2021	Present

07/2015 → 09/2023

E*Trade Securities Llc

Sandy, UT
11/2017 → 09/2023

E*Trade Capital Management Llc

Sandy, UT
10/2021 → Present

Morgan Stanley Smith Barney Llc

Sandy, UT

Previous Registrations

2018-07-26 → 2023-09-05

Harrisdirect Llc

Sandy, UT

Arlington, VA

Other Businesses

1. Apartment Rental 2. Investment Related:No 3. (Personal Address) 4. Renting out basement apartment 5. Landlord 6. 01/01/2019 7. Hours devoted to business: 1 8. Hours devoted during Securities business: 0 9. Maintenance of property.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-07-26
S63	Uniform Securities Agent State Law Examination	2015-09-22

S66 Uniform Combined State Law Examination

2018-07-26
S63 Uniform Securities Agent State Law Examination

2015-09-22

Other Names

Phillip Daniel Mccarroll

View on SEC IAPD