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Nancy Caraballo
NANCY CARABALLO, NANCY CARABOLLORUSSON, Nancy Caraballo Toelken, NANCY C RUSSO, NANCY RUSSO
CRD#: 1053029
IA
B
MORGAN STANLEYCRD#: 149777 2800 Post Oak Boulevard
18th Floor
Houston, TX 77056
18th Floor
Houston, TX 77056
0
Disclosures
40
Years of Experience
View By:
State Registrations
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Alabama 8/3/2021
B
Nebraska 12/6/2024
B
Alaska 12/6/2024
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Nevada 8/11/2021
B
Arizona 8/12/2021
B
New Hampshire 2/9/2024
B
Arkansas 8/3/2021
B
New Jersey 8/3/2021
B
California 2/23/2022
B
New Mexico 8/3/2021
B
Colorado 2/22/2022
B
New York 7/30/2021
B
Connecticut 2/9/2024
B
North Carolina 8/3/2021
B
Delaware 8/6/2021
B
North Dakota 12/6/2024
B
District of Columbia 7/30/2021
B
Ohio 8/3/2021
B
Florida 2/23/2022
B
Oklahoma 7/30/2021
B
Georgia 7/30/2021
B
Oregon 8/11/2021
B
Hawaii 8/3/2021
B
Pennsylvania 7/30/2021
B
Idaho 7/30/2021
B
Puerto Rico 12/6/2024
B
Illinois 8/6/2021
B
Rhode Island 12/6/2024
B
Indiana 8/3/2021
B
South Carolina 7/30/2021
B
Iowa 12/6/2024
B
South Dakota 12/6/2024
B
Kansas 7/30/2021
B
Tennessee 8/3/2021
B
Kentucky 8/2/2021
B
Texas 4/22/2021
B
Louisiana 7/30/2021
IA
Texas 4/22/2021
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Maine 2/9/2024
B
Utah 12/6/2024
B
Maryland 8/3/2021
B
Vermont 12/6/2024
B
Massachusetts 8/3/2021
B
Virgin Islands 12/6/2024
B
Michigan 8/4/2021
B
Virginia 2/9/2024
B
Minnesota 2/9/2024
B
Washington 8/2/2021
B
Mississippi 8/2/2021
B
West Virginia 8/9/2021
B
Missouri 7/30/2021
B
Wisconsin 7/30/2021
B
Montana 12/6/2024
B
Wyoming 2/9/2024
SRO Registrations
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IA
Registered with this firm since 4/22/2021
B
Registered with this firm since 4/22/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/31/2018 - 04/05/2021 | HOUSTON, TX | |
B | 08/31/2018 - 04/05/2021 | HOUSTON, TX | |
IA | 10/20/2004 - 08/14/2018 | HOUSTON, TX | |
B | 03/31/2000 - 08/14/2018 | HOUSTON, TX | |
B | 11/22/1989 - 09/08/1998 | ||
B | 06/22/1983 - 09/08/1998 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.