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Detailed Report
CAREN POLETTI WILLIAMS
CAREN PATRICE POLETTI
CRD#: 1956447
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 3102 West End Avenue
Suite 200
Nashville, TN 37203
Registration History
19952000200520102015202020252 FIRMS2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1997 - 2009 (11 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1995 - 1997 (2 years)BSMITH BARNEY INC. (CRD# 7059)1995 - 1995 (<1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1991 - 1995 (3 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2004 - 2009 (5 years)
License(s)

State Registrations

B
Alabama 6/1/2009
B
Mississippi 7/12/2017
B
Arizona 7/2/2019
B
Missouri 5/25/2022
B
Arkansas 8/18/2009
B
Montana 6/6/2018
B
California 4/5/2016
B
New Hampshire 6/1/2009
B
Colorado 2/22/2011
B
New York 6/1/2009
B
Connecticut 11/6/2020
B
North Carolina 1/9/2012
B
Florida 6/1/2009
B
Ohio 6/1/2009
B
Georgia 6/1/2009
B
Oklahoma 4/3/2024
B
Illinois 9/7/2018
B
South Carolina 1/25/2013
B
Indiana 9/22/2020
B
Tennessee 6/1/2009
B
Kentucky 7/28/2015
IA
Tennessee 6/1/2009
B
Maine 7/31/2019
B
Texas 6/1/2009
B
Maryland 6/1/2009
IA
Texas 5/5/2020
B
Michigan 8/1/2013
B
Virginia 8/26/2019
B
Minnesota 2/26/2015

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
3102 West End Avenue Suite 200, Nashville, TN 37203
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
3102 West End Avenue Suite 200, Nashville, TN 37203
Registered with this firm since 6/1/2009
Previous Registration(s)
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IA
 04/12/2004 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NASHVILLE, TN
B
 09/24/1997 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NASHVILLE, TN
B
 07/11/1995 - 09/08/1997 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 03/22/1995 - 06/07/1995 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 10/10/1991 - 04/04/1995 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.