Best Investors Account Sign in

Brock Caufield

Morgan Stanley

Birmingham, MI

Claim This Profile
Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2026-08-18
  • MI RA
    APPROVED
    Since 2026-08-18

Branch Locations

34901 Woodward Avenue Suite 300, Birmingham, MI 48009 • 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
Rock Harbor, Llc Birmingham MI 07/2025 07/2026
Foreside Fund Services, Llc Birmingham MI 08/2025 07/2026
Reading Royals Hockey Reading PA 09/2024 04/2025
Wsi Neenah WI 05/2024 08/2024
Newfoundland Growlers Hockey St John's 09/2023 04/2024
Morgan Stanley Birmingham MI 05/2025 06/2025
University Of Wisconsin Madison Madison WI 07/2018 06/2023
Stevens Point Area Senior High Stevens Point WI 09/2014 06/2018
Morgan Stanley Birmingham MI 08/2026 Present
Morgan Stanley Private Bank, N.A New York NY 08/2026 Present
  • 07/2025 → 07/2026
    Rock Harbor, Llc
    Birmingham, MI
  • 08/2025 → 07/2026
    Foreside Fund Services, Llc
    Birmingham, MI
  • 09/2024 → 04/2025
    Reading Royals Hockey
    Reading, PA
  • 05/2024 → 08/2024
    Wsi
    Neenah, WI
  • 09/2023 → 04/2024
    Newfoundland Growlers Hockey
    St John's
  • 05/2025 → 06/2025
    Morgan Stanley
    Birmingham, MI
  • 07/2018 → 06/2023
    University Of Wisconsin Madison
    Madison, WI
  • 09/2014 → 06/2018
    Stevens Point Area Senior High
    Stevens Point, WI
  • 08/2026 → Present
    Morgan Stanley
    Birmingham, MI
  • 08/2026 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-09-26
  • S66 Uniform Combined State Law Examination
    2025-09-26

View on SEC IAPD

Other Firms

J.P. MORGAN SECURITIES LLC
WELLS FARGO CLEARING SERVICES, LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RISK PARADIGM GROUP, LLC
INNOVIA WEALTH, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
TOWNSEND STREET CAPITAL MANAGEMENT
VALSTONE PARTNERS VI

Other Investors

JEFFREY MICHAEL DIEFENTHALER
Kevin Arthur-Whitworth Sheard
JERAMEY JOSEPH LYNCH
Akinwale Adebayo
Maxwell James Hunt
Scott Schramm
John Lockwood
Jared M. Rhein

Other Offices

J.P. MORGAN SECURITIES LLC · Birmingham, MI
WELLS FARGO CLEARING SERVICES, LLC · BIRMINGHAM, MI
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · BIRMINGHAM, MI
RISK PARADIGM GROUP, LLC · Birmingham, MI
WELLS FARGO CLEARING SERVICES, LLC · BIRMINGHAM, MI
INNOVIA WEALTH, LLC · Birmingham, MI
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · BIRMINGHAM, MI
TOWNSEND STREET CAPITAL MANAGEMENT · BIRMINGHAM, MI

More in Birmingham, MI

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor