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Lisa Sue Caputo

Morgan Stanley

Indianapolis, IN

CRD 2416804

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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

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-03-26
IN RA APPROVED 2018-01-16
  • TX RA
    APPROVED_RES
    Since 2020-03-26
  • IN RA
    APPROVED
    Since 2018-01-16

Branch Locations

800 East 96Th Street Suite 400, Indianapolis, IN 46240 • 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
Morgan Stanley Indianapolis IN 06/2011 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-11-21
S63 Uniform Securities Agent State Law Examination 1996-10-01
  • S66 Uniform Combined State Law Examination
    2007-11-21
  • S63 Uniform Securities Agent State Law Examination
    1996-10-01
Other Names
  • Lisa Sue Horn
  • Lisa S Horn
  • Lisa Sue Caputo
  • Lisa Caputo

View on SEC IAPD

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