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Kari Ann Cardwell

Morgan Stanley

San Jose, CA

Santa Cruz, CA

Salinas, CA

Salinas, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-02-20
CA RA APPROVED 2015-02-25
  • TX RA
    APPROVED_RES
    Since 2020-02-20
  • CA RA
    APPROVED
    Since 2015-02-25

Branch Locations

225 West Santa Clara Street Suite 900, San Jose, CA 95113 • United States

6004 La Madrona Drive, Santa Cruz, CA 95060 • United States

Salinas, CA • United States

1418 South Main Street Suite 200, Salinas, CA 93908 • 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 San Jose CA 06/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-02-25
S63 Uniform Securities Agent State Law Examination 1999-01-06
  • S65 Uniform Investment Adviser Law Examination
    2015-02-25
  • S63 Uniform Securities Agent State Law Examination
    1999-01-06
Other Names
  • Kari Ann Cardwell
  • Kari Ann Shriver
  • Kari Ann Cardwell
  • Kari Ann Cardwell-Shriver

View on SEC IAPD

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J.P. MORGAN SECURITIES LLC
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EQUITABLE ADVISORS, LLC
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HICKOK ADVISORY, LLC

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Jonathan A Stoft
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Luke Maura
BEN Wolff KRUGMAN
DANIEL ROY OWENS

Other Offices

J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
PFG ADVISORS · San Jose, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
WELLS FARGO CLEARING SERVICES, LLC · SAN JOSE, CA
J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
EQUITABLE ADVISORS, LLC · CAMPBELL, CA
ROLO VENTURES MANAGEMENT LLC · SAN JOSE, CA

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