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Detailed Report
CARMEN ASCANIO
CARMEN NOON BANALES, CARMEN BANALES
CRD#: 2658315
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 55 South Lake Avenue Pasadena Towers - Tower II
Suite 700
Pasadena, CA 91101
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2007 (<1 year)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - Present (15 years)BMORGAN STANLEY & CO., INCORPORATED (CRD# 8209)2003 - 2007 (3 years)BMORGAN STANLEY DW INC. (CRD# 7556)1997 - 2003 (6 years)BGRIFFIN FINANCIAL SERVICES (CRD# 10823)1995 - 1997 (1 year)IAMORGAN STANLEY & CO., INCORPORATED (CRD# 8209)2006 - 2007 (<1 year)IAMORGAN STANLEY (CRD# 7556)1998 - 2003 (4 years)
License(s)

State Registrations

B
Alabama 4/29/2022
B
Nebraska 2/20/2019
B
Alaska 4/29/2022
B
Nevada 2/20/2019
B
Arizona 5/11/2022
B
New Hampshire 5/25/2022
B
Arkansas 2/20/2019
B
New Jersey 5/25/2022
B
California 6/1/2009
B
New Mexico 2/20/2019
IA
California 6/1/2009
B
New York 5/25/2022
B
Colorado 2/26/2020
B
North Carolina 2/20/2019
B
Connecticut 5/11/2022
B
North Dakota 2/20/2019
B
Delaware 5/11/2022
B
Ohio 5/27/2022
B
District of Columbia 5/11/2022
B
Oklahoma 5/25/2022
B
Florida 2/20/2019
B
Oregon 5/25/2022
B
Georgia 2/20/2019
B
Pennsylvania 5/25/2022
B
Hawaii 7/27/2021
B
Puerto Rico 2/20/2019
B
Idaho 5/25/2022
B
Rhode Island 2/20/2019
B
Illinois 12/10/2014
B
South Carolina 2/20/2019
B
Indiana 2/20/2019
B
South Dakota 2/20/2019
B
Iowa 5/25/2022
B
Tennessee 2/8/2011
B
Kansas 5/25/2022
B
Texas 6/6/2017
B
Kentucky 5/25/2022
IA
Texas 3/11/2020
B
Louisiana 2/26/2020
B
Utah 2/20/2019
B
Maine 5/25/2022
B
Vermont 5/25/2022
B
Maryland 5/25/2022
B
Virgin Islands 5/25/2022
B
Massachusetts 3/11/2019
B
Virginia 5/25/2022
B
Michigan 5/25/2022
B
Washington 2/20/2019
B
Minnesota 2/20/2019
B
West Virginia 5/25/2022
B
Mississippi 2/20/2019
B
Wisconsin 2/20/2019
B
Missouri 4/29/2022
B
Wyoming 7/27/2021
B
Montana 2/26/2020

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)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Whittier, CA
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Whittier, CA
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PASADENA, CA
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PASADENA, CA
IA
 01/24/2007 - 04/02/2007 MORGAN STANLEY (CRD#:7556) PASADENA, CA
B
 01/24/2007 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) PASADENA, CA
IA
 10/10/2006 - 01/25/2007 MORGAN STANLEY & CO., INCORPORATED (CRD#:8209) LOS ANGELES, CA
B
 04/16/2003 - 01/25/2007 MORGAN STANLEY & CO., INCORPORATED (CRD#:8209) NEW YORK, NY
IA
 11/02/1998 - 04/17/2003 MORGAN STANLEY (CRD#:7556) LOS ANGELES, CA
B
 04/24/1997 - 04/17/2003 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 09/18/1995 - 03/24/1997 GRIFFIN FINANCIAL SERVICES (CRD#:10823)
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.