Carole Ann Caldwell

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2009-06-01
TX	RA	APPROVED_RES	2009-06-01

CT RA
APPROVED

Since 2009-06-01
TX RA
APPROVED_RES

Since 2009-06-01

Branch Locations

500 Post Road East 3Rd Floor, Westport, CT 06880 • 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	Westport	CT	06/2009	Present

06/2009 → Present

Morgan Stanley Smith Barney

Westport, CT

Previous Registrations

2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Greenwich, CT
2002-04-11 → 2007-04-02

Morgan Stanley Dw Inc.

Greenwich, CT

Greenwich, CT

Other Businesses

*384073 - Optavia; Investment related No; Inspire healthy eating habits; Employee (proprietor, partner, officer, director, employee, trustee, agent); Oct 2019

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-02-28

S66 Uniform Combined State Law Examination

2001-02-28

View on SEC IAPD

Current Employers

Morgan Stanley

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

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