William Harold Carnes

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
NY	RA	APPROVED	2021-06-16
TX	RA	APPROVED_RES	2010-08-27

NY RA
APPROVED

Since 2021-06-16
TX RA
APPROVED_RES

Since 2010-08-27

Branch Locations

55 East 52Nd Street 10Th Floor, New York, NY 10055 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Citigroup Global Markets Inc.	New York	NY	10/1998	Present
Morgan Stanley Smith Barney	New York	NY	06/2009	Present
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	Present

10/1998 → Present

Citigroup Global Markets Inc.

New York, NY
06/2009 → Present

Morgan Stanley Smith Barney

New York, NY
01/2015 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-01-14
S63	Uniform Securities Agent State Law Examination	1999-01-05

S65 Uniform Investment Adviser Law Examination

1999-01-14
S63 Uniform Securities Agent State Law Examination

1999-01-05

Other Names

Bill Carnes
William Harold Carnes

View on SEC IAPD