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Jack B Caswell

Morgan Stanley

San Rafael, CA

Salt Lake City, UT

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-05-21
TX RA APPROVED 2024-02-16
UT RA APPROVED 2024-02-05
  • CA RA
    APPROVED
    Since 2026-05-21
  • TX RA
    APPROVED
    Since 2024-02-16
  • UT RA
    APPROVED
    Since 2024-02-05

Branch Locations

1101 5Th Avenue Suite 275, San Rafael, CA 94901 • United States

60 East South Temple 20Th Floor, Salt Lake City, UT 84111 • United States

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
OrganizationCityStateFromTo
Morgan Stanley San Rafael CA 05/2023 Present
Mirador, Inc. Salt Lake City UT 07/2021 05/2023
Syracuse University Syracuse NY 08/2017 05/2021
Windjammer & Upper Deck Pub South Burlington VT 09/2016 08/2020
Fiddlehead Brewing Company Shelburne VT 05/2018 07/2021
Rookie Road, Inc. Syracuse NY 07/2020 09/2020
Hannaford Supermarkets South Burlington VT 11/2014 09/2016
  • 05/2023 → Present
    Morgan Stanley
    San Rafael, CA
  • 07/2021 → 05/2023
    Mirador, Inc.
    Salt Lake City, UT
  • 08/2017 → 05/2021
    Syracuse University
    Syracuse, NY
  • 09/2016 → 08/2020
    Windjammer & Upper Deck Pub
    South Burlington, VT
  • 05/2018 → 07/2021
    Fiddlehead Brewing Company
    Shelburne, VT
  • 07/2020 → 09/2020
    Rookie Road, Inc.
    Syracuse, NY
  • 11/2014 → 09/2016
    Hannaford Supermarkets
    South Burlington, VT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-02-01
  • S66 Uniform Combined State Law Examination
    2024-02-01

View on SEC IAPD

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INDEPENDENT FINANCIAL GROUP, LLC
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Other Offices

STIFEL, NICOLAUS & COMPANY, INCORPORATED · SAN RAFAEL, CA
HCM WEALTH · SAN RAFAEL, CA
O'DONNELL FINANCIAL SERVICES, LLC · SAN RAFAEL, CA
MADRONE INVESTMENT ADVISORY, LLC · SAN RAFAEL, CA
FIDUCIARY FINANCIAL GROUP, LLC · SAN RAFAEL, CA
MORGAN STANLEY · SAN RAFAEL, CA
INDEPENDENT FINANCIAL GROUP, LLC · San Rafael, CA
EDWARD JONES · San Rafael, CA

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