Caitlin Nora Carter

Claim This Profile

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
MD	RA	APPROVED	2019-11-26
DC	RA	APPROVED	2018-10-25
TX	RA	APPROVED	2016-09-01
GA	RA	APPROVED	2016-08-30

MD RA
APPROVED

Since 2019-11-26
DC RA
APPROVED

Since 2018-10-25
TX RA
APPROVED

Since 2016-09-01
GA RA
APPROVED

Since 2016-08-30

Branch Locations

410 Severn Avenue Suite 211, Annapolis, MD 21403 • United States

Bowie, MD • 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 Llc	Annapolis	MD	06/2016	Present

06/2016 → Present

Morgan Stanley Smith Barney Llc

Annapolis, MD

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-08-29

S66 Uniform Combined State Law Examination

2016-08-29

Other Names

Caitlin Nora Little

View on SEC IAPD

Other Firms

AMERIPRISE FINANCIAL SERVICES, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CETERA INVESTMENT ADVISERS LLC

RCS FINANCIAL PLANNING, LLC

MARINER INDEPENDENT

EQUITABLE ADVISORS, LLC

WELLS FARGO CLEARING SERVICES, LLC

Other Investors

Robert E Saunders

DONALD WILLIAM COLLETT

LEE DONALD BOLLHORST

JAMES WILSON THOMAS

Stefen Thomas Main

SAMANTHA MARIE LONG

Daniel Maris Beigel

JOSEPH WALLACE DUBINSKI

Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · ANNAPOLIS, MD

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ANNAPOLIS, MD

CETERA INVESTMENT ADVISERS LLC · Annapolis, MD

RCS FINANCIAL PLANNING, LLC · ANNAPOLIS, MD

AMERIPRISE FINANCIAL SERVICES, LLC · Annapolis, MD

MARINER INDEPENDENT · Annapolis, MD

EQUITABLE ADVISORS, LLC · ANNAPOLIS, MD

WELLS FARGO CLEARING SERVICES, LLC · ANNAPOLIS, MD

More in Annapolis, MD

Reviews

Want to share your experience?

Sign in to leave a review

Loading reviews...

Reach out to this advisor