Nancy Caraballo

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

• 03/2000 → 08/2018
  Merrill Lynch, Pierce, Fenner & Smith
  Houston, TX
• 01/2015 → 08/2018
  Bank Of America, N.A.
  Houston, TX
• 08/2018 → 03/2021
  The Prudential Insurance Company Of America
  Houston, TX
• 08/2018 → 03/2021
  Pruco Securities Llc
  Houston, TX
• 03/2021 → Present
  Morgan Stanley
  Houston, TX

Previous Registrations

• 2018-08-31 → 2021-04-05
  Pruco Securities, Llc.
  Houston, TX
• 2004-10-20 → 2018-08-14
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Houston, TX
  Houston, TX

Exams

• S65 Uniform Investment Adviser Law Examination
  2011-09-22
• S63 Uniform Securities Agent State Law Examination
  1985-05-29

Other Names

• Nancy C Russo
• Nancy Caraballo
• Nancy Carabollorusson
• Nancy Russo
• Nancy Caraballo Toelken