Caroline S Lops

CRD 7556198

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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	2025-04-28

NY RA
APPROVED

Since 2025-04-28

Branch Locations

1 New York Plaza, New York, NY 10004 • United States

2000 Westchester Avenue, Purchase, NY 10577-2530 • USA

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	New York	NY	01/2024	Present
Wake Forest University	Winston-Salem	NC	08/2019	05/2023
Ridgewood Public Schools	Ridgewood	NJ	09/2011	06/2019
Indian Trail Club	Franklin Lakes	NJ	08/2016	08/2021
N/A	Ridgewood	NJ	06/2023	12/2023

01/2024 → Present

Morgan Stanley

New York, NY
08/2019 → 05/2023

Wake Forest University

Winston-Salem, NC
09/2011 → 06/2019

Ridgewood Public Schools

Ridgewood, NJ
08/2016 → 08/2021

Indian Trail Club

Franklin Lakes, NJ
06/2023 → 12/2023

N/A

Ridgewood, NJ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-04-28
S63	Uniform Securities Agent State Law Examination	2024-03-07

S66 Uniform Combined State Law Examination

2025-04-28
S63 Uniform Securities Agent State Law Examination

2024-03-07

View on SEC IAPD

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