Caroline Angelica A Lopez Robles

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2018 → 12/2019
  Jpmorgan Chase Bank, N.A.
  Livermore, CA
• 12/2021 → 01/2023
  Jpmorgan Chase Bank, N.A.
  Livermore, CA
• 01/2016 → 10/2018
  Kay Jewelers
  Livermore, CA
• 01/2023 → 12/2024
  Jpmorgan Securities Llc
  Dublin, CA
• 12/2024 → 06/2025
  Bmo Harris Bank
  Stockton, CA
• 12/2019 → 12/2021
  Jpmorgan Chase Bank, N.A.
  Livermore, CA
• 12/2024 → 06/2025
  Lpl Financial Llc
  Stockton, CA
• 06/2025 → Present
  Morgan Stanley
  Pleasanton, CA

Previous Registrations

• 2024-12-16 → 2025-06-23
  Lpl Financial Llc
  Stockton, CA
• 2023-03-09 → 2024-12-03
  J.P. Morgan Securities Llc
  Livermore, CA
  Livermore, CA
  Dublin, CA

Exams

• S66 Uniform Combined State Law Examination
  2023-03-09
• S63 Uniform Securities Agent State Law Examination
  2022-04-20

Other Names

• Caroline Lopez
• Caroline Angelica Lopez Robles
• Caroline A Lopez
• Caroline A Lopez Robles