Carina Monique Flores

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (investment companies)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2021-12-16
AZ	RA	APPROVED	2020-08-27

TX RA
APPROVED

Since 2021-12-16
AZ RA
APPROVED

Since 2020-08-27

Branch Locations

14850 North Scottsdale Road Suite 600, Scottsdale, AZ 85254 • 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	Tucson	AZ	02/2019	01/2020
Dr. Ronald R. Flores D.D.S., P.C.	Tucson	AZ	06/2016	07/2020
Morgan Stanley Smith Barney Llc	Tucson	AZ	03/2020	08/2020
Morgan Stanley Private Bank, N.A	New York	NY	10/2020	Present
Morgan Stanley Smith Barney Llc	Scottsdale	AZ	08/2020	Present

02/2019 → 01/2020

Morgan Stanley Smith Barney Llc

Tucson, AZ
06/2016 → 07/2020

Dr. Ronald R. Flores D.D.S., P.C.

Tucson, AZ
03/2020 → 08/2020

Morgan Stanley Smith Barney Llc

Tucson, AZ
10/2020 → Present

Morgan Stanley Private Bank, N.A

New York, NY
08/2020 → Present

Morgan Stanley Smith Barney Llc

Scottsdale, AZ

Other Businesses

*552964 - Rental Property ; Investment related - Yes ; Oro Valley,Arizona ; Real Estate ; Sole Proprietor/Owner(proprietor, partner, officer, director, employee, trustee, agent) ; 5/2023 ; During business hours : 0 ; After business hours : 1 ; Owner/Passive RE income *556401- CMF Peppersauce LLC; Investment related-Yes; Tucson, Arizona; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 06/2023; During business hours: 0; After business hours: 2; Owner/Rental income and operating expense management

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-07-27

S66 Uniform Combined State Law Examination

2020-07-27

View on SEC IAPD