Frederick Moffat Caswell

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-04-08
ME	RA	APPROVED	2012-03-13
NH	RA	APPROVED	2010-03-01
CA	RA	APPROVED	2009-06-01

TX RA
APPROVED_RES

Since 2020-04-08
ME RA
APPROVED

Since 2012-03-13
NH RA
APPROVED

Since 2010-03-01
CA RA
APPROVED

Since 2009-06-01

Branch Locations

100 Middle Street 3Rd Floor, Portland, ME 04101 • United States

Disclosures

1 disclosure category 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 No
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	Portland	ME	03/2012	Present

03/2012 → Present

Morgan Stanley Smith Barney

Portland, ME

Previous Registrations

2008-01-08 → 2009-06-01

Morgan Stanley & Co. Llc

Boston, MA

Wellesley, MA

Other Businesses

*480318- Trust; Investment related Yes; South Freeport, Maine; Trust; Trustee/Co-Trustee; 01/2022; During business hours: 2; After business hours: 13; Estate Administration

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-06-14
S65	Uniform Investment Adviser Law Examination	1992-10-02
S63	Uniform Securities Agent State Law Examination	1981-07-15

S66 Uniform Combined State Law Examination

2010-06-14
S65 Uniform Investment Adviser Law Examination

1992-10-02
S63 Uniform Securities Agent State Law Examination

1981-07-15

Other Names

Frederick M Caswell

View on SEC IAPD

Current Employers

Morgan Stanley

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews