Carl Robert Morganstein

Current Employers

Griffin Asset Management, Llc

230 Park Avenue 4Th Floor, New York, NY 10169 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2025-12-10

FL RA
APPROVED

Since 2025-12-10

Branch Locations

Palm Coast, FL • United States

Disclosures

2 disclosure categories 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 Yes
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
Morgan Stanley Smith Barney	Boca Raton	FL	11/2011	06/2018
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	06/2018
Griffin Asset Management	New York	NY	07/2018	Present

11/2011 → 06/2018

Morgan Stanley Smith Barney

Boca Raton, FL
01/2015 → 06/2018

Morgan Stanley Private Bank, National Association

New York, NY
07/2018 → Present

Griffin Asset Management

New York, NY

Previous Registrations

2011-12-05 → 2018-06-13

Morgan Stanley

Boca Raton, FL

Boone, NC

Boca Raton, FL

Boca Raton, FL
2007-04-09 → 2011-12-01

Janney Montgomery Scott Llc

Boca Raton, FL

Boca Raton, FL
2006-03-08 → 2007-04-09

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Boca Raton, FL

Boca Raton, FL

New York, NY
2003-03-28 → 2006-03-08

Advest, Inc.

Boca Raton, FL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-06-15
S63	Uniform Securities Agent State Law Examination	1985-01-29

S66 Uniform Combined State Law Examination

2010-06-15
S63 Uniform Securities Agent State Law Examination

1985-01-29

Other Names

Carl Morgan

View on SEC IAPD