Carrie L Daly

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2024-01-04
TX	RA	APPROVED_RES	2020-04-08
IL	RA	APPROVED	2016-03-10

AZ RA
APPROVED

Since 2024-01-04
TX RA
APPROVED_RES

Since 2020-04-08
IL RA
APPROVED

Since 2016-03-10

Branch Locations

14850 North Scottsdale Road Suite 600, Scottsdale, AZ 85254 • 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

Organization	City	State	From	To
Morgan Stanley	Scottsdale	AZ	03/2016	Present

03/2016 → Present

Morgan Stanley

Scottsdale, AZ

Previous Registrations

2014-09-10 → 2016-03-04

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chicago, IL

Chicago, IL
2009-12-04 → 2013-12-12

Morgan Stanley

Chicago, IL

Other Businesses

*636485- FINRA; Investment related: No; New York, New York; FINRA is a self-regulatory organization for member broker-dealers that is responsible under federal law for supervising member firms;Arbitrator (proprietor, partner, officer, director, employee, trustee, agent); 05/2025; During business hours: 0; After business hours: 5; Other

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2009-08-18
S63	Uniform Securities Agent State Law Examination	1999-09-21

S65 Uniform Investment Adviser Law Examination

2009-08-18
S63 Uniform Securities Agent State Law Examination

1999-09-21

Other Names

Carrie Lynn Daly

View on SEC IAPD