Carole L Ricci

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2022-02-10
TX	RA	APPROVED	2020-04-08
DE	RA	APPROVED	2018-07-31

PA RA
APPROVED

Since 2022-02-10
TX RA
APPROVED

Since 2020-04-08
DE RA
APPROVED

Since 2018-07-31

Branch Locations

500 Dupont Field Blvd. Suite 300, Greenville, DE 19807 • 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 Smith Barney Llc	Greenville	DE	01/2016	Present

01/2016 → Present

Morgan Stanley Smith Barney Llc

Greenville, DE

Other Businesses

*461848- Estate; Investment related Yes; Boothwyn, Pennsylvania; Estate; Executor/Co-Executor ; 10/2021; During business hours: 1; After business hours: 9;

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-07-31
S63	Uniform Securities Agent State Law Examination	2011-08-26

S66 Uniform Combined State Law Examination

2018-07-31
S63 Uniform Securities Agent State Law Examination

2011-08-26

Other Names

Carole L Fangman
Carole L Fangman

View on SEC IAPD