Mark W Caprio

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2022-11-21
RI	RA	APPROVED	2022-11-21
TX	RA	APPROVED	2022-11-21

CT RA
APPROVED

Since 2022-11-21
RI RA
APPROVED

Since 2022-11-21
TX RA
APPROVED

Since 2022-11-21

Branch Locations

One Financial Plaza 19Th Floor, Providence, RI 02903 • 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
Merrill Lynch, Pierce, Fenner & Smith, Incorporated	Lincoln	RI	09/2014	10/2022
Morgan Stanley	Providence	RI	11/2022	Present

09/2014 → 10/2022

Merrill Lynch, Pierce, Fenner & Smith, Incorporated

Lincoln, RI
11/2022 → Present

Morgan Stanley

Providence, RI

Previous Registrations

2018-02-26 → 2022-10-28

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Riverside, RI

New York, NY

Riverside, RI

Lincoln, RI

Other Businesses

601825 - Rental Property; Investment Related - Yes; Cranston, Rhode Island; Real Estate; Sole Proprietor/Owner (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent);07/2024; During Business Hours: 0; After Business Hours: 10; Property Management.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-02-23
S63	Uniform Securities Agent State Law Examination	2014-12-15

S66 Uniform Combined State Law Examination

2018-02-23
S63 Uniform Securities Agent State Law Examination

2014-12-15

Other Names

Mark William Caprio

View on SEC IAPD