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Detailed Report
CARALYNN NOEL STEIN
CARALYNN NOEL HANNING, CAROLYNN NOEL HANNING
CRD#: 2823745
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 55 South Lake Avenue Pasadena Towers - Tower II
Suite 700
Pasadena, CA 91101
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2004 - 2009 (4 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2000 - 2004 (4 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1999 - 1999 (<1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2006 - 2009 (2 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 7/14/2010
IA
California 6/1/2009
B
New York 5/25/2022
B
Colorado 2/3/2021
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 3/7/2016
B
Georgia 2/20/2019
B
Pennsylvania 5/25/2022
B
Hawaii 2/8/2011
B
Puerto Rico 2/20/2019
B
Idaho 5/25/2022
B
Rhode Island 2/20/2019
B
Illinois 3/7/2016
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 5/31/2017
B
Kentucky 5/25/2022
IA
Texas 3/11/2020
B
Louisiana 2/3/2021
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 10/8/2014
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 2/8/2011

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
74199 El Paseo Suite 201, Palm Desert, CA 92260
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
74199 El Paseo Suite 201, Palm Desert, CA 92260
Registered with this firm since 6/1/2009
Previous Registration(s)
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IA
 07/27/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CLARMONT, CA
B
 08/03/2004 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CLARMONT, CA
B
 02/17/2000 - 07/28/2004 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
B
 08/13/1999 - 09/15/1999 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.