Individual Firm
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Kimberly Michele Caggiano
KIMBERLY MICHELE DEMARCO
CRD#: 2939477
IA
B
MORGAN STANLEYCRD#: 149777 One Financial Plaza
19Th Floor
Providence, RI 02903
19Th Floor
Providence, RI 02903
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5/23/2013
Customer Dispute
Withdrawn
1/31/2013
Customer Dispute
Denied
State Registrations
B
Arizona 5/2/2024
B
New Jersey 5/2/2024
B
California 10/21/2022
B
New York 10/21/2022
B
Colorado 5/2/2024
B
North Carolina 5/2/2024
B
Connecticut 10/21/2022
B
Ohio 10/9/2024
B
Florida 10/21/2022
B
Oregon 5/2/2024
B
Georgia 8/2/2024
B
Pennsylvania 5/9/2024
B
Illinois 5/29/2024
B
Rhode Island 11/1/2022
B
Indiana 5/2/2024
IA
Rhode Island 11/1/2022
B
Iowa 5/2/2024
B
South Carolina 5/2/2024
B
Kentucky 5/2/2024
B
Texas 5/2/2024
B
Maine 5/2/2024
IA
Texas 5/3/2024
B
Massachusetts 11/1/2022
B
Vermont 5/2/2024
B
Missouri 5/29/2024
B
Virginia 5/2/2024
B
Nevada 9/15/2023
B
West Virginia 5/2/2024
B
New Hampshire 8/17/2023
B
Wisconsin 8/2/2024
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 11/1/2022
B
Registered with this firm since 10/21/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/21/2022 - 10/27/2022 | PURCHASE, NY | |
IA | 07/03/2013 - 10/25/2022 | PROVIDENCE, RI | |
B | 01/18/2013 - 10/25/2022 | PROVIDENCE, RI | |
B | 09/14/2001 - 01/22/2013 | EAST MILTON, MA | |
B | 09/10/1999 - 09/12/2001 | SMITHFIELD, RI | |
B | 11/04/1998 - 09/01/1999 | NEW YORK, NY | |
B | 02/03/1998 - 07/31/1998 | CHARLOTTE, NC |
PROVIDENCE, RI
07/03/2013 - 10/25/2022
PROVIDENCE, RI
01/18/2013 - 10/25/2022
SMITHFIELD, RI
09/10/1999 - 09/12/2001
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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.