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Detailed Report
CAROLINE DUCK WARREN
CAROLINE MOSS DUCK, CAROLINE MOSS WARREN
CRD#: 3088121
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 7515 Halcyon Summit Drive
Montgomery, AL 36117
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - 2022 (13 years)2 FIRMS2022 - Present (2 years)BMORGAN STANLEY DW INC. (CRD# 7556)2005 - 2007 (1 year)BLEGG MASON WOOD WALKER, INCORP... (CRD# 6555)2002 - 2005 (3 years)BMORGAN KEEGAN & COMPANY, INC. (CRD# 4161)2001 - 2002 (<1 year)BREGIONS INVESTMENT COMPANY, INC. (CRD# 17618)1998 - 2001 (2 years)
License(s)

State Registrations

B
Alabama 9/12/2022
B
Nebraska 11/15/2022
IA
Alabama 9/12/2022
B
Nevada 11/15/2022
B
Alaska 11/15/2022
B
New Hampshire 11/15/2022
B
Arizona 9/26/2022
B
New Jersey 11/15/2022
B
Arkansas 11/15/2022
B
New Mexico 11/15/2022
B
California 9/26/2022
B
New York 11/15/2022
B
Colorado 9/26/2022
B
North Carolina 9/26/2022
B
Connecticut 11/15/2022
B
North Dakota 11/15/2022
B
Delaware 11/15/2022
B
Ohio 11/16/2022
B
District of Columbia 9/26/2022
B
Oklahoma 9/26/2022
B
Florida 9/26/2022
B
Oregon 11/15/2022
B
Georgia 9/26/2022
B
Pennsylvania 11/15/2022
B
Hawaii 11/15/2022
B
Puerto Rico 1/23/2024
B
Idaho 11/15/2022
B
Rhode Island 11/15/2022
B
Illinois 11/15/2022
B
South Carolina 9/26/2022
B
Indiana 9/26/2022
B
South Dakota 11/15/2022
B
Iowa 11/15/2022
B
Tennessee 9/26/2022
B
Kansas 11/15/2022
B
Texas 9/26/2022
B
Kentucky 9/26/2022
IA
Texas 10/5/2022
B
Louisiana 9/26/2022
B
Utah 11/15/2022
B
Maine 9/26/2022
B
Vermont 11/15/2022
B
Maryland 11/15/2022
B
Virgin Islands 1/23/2024
B
Massachusetts 9/26/2022
B
Virginia 9/26/2022
B
Michigan 9/26/2022
B
Washington 9/12/2022
B
Minnesota 11/15/2022
B
West Virginia 11/15/2022
B
Mississippi 9/26/2022
B
Wisconsin 11/15/2022
B
Missouri 9/26/2022
B
Wyoming 11/15/2022
B
Montana 11/15/2022

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)
7515 Halcyon Summit Drive, Montgomery, AL 36117
Registered with this firm since 9/12/2022
B
MORGAN STANLEY (CRD#:149777)
7515 Halcyon Summit Drive, Montgomery, AL 36117
Registered with this firm since 9/12/2022
Previous Registration(s)
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IA
 03/13/2009 - 09/06/2022 UBS FINANCIAL SERVICES INC. (CRD#:8174) MONTGOMERY, AL
B
 03/13/2009 - 09/06/2022 UBS FINANCIAL SERVICES INC. (CRD#:8174) MONTGOMERY, AL
IA
 06/21/2007 - 03/02/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) MONTGOMERY, AL
B
 04/02/2007 - 03/02/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) MONTGOMERY, AL
B
 10/14/2005 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) MONTGOMERY, AL
B
 03/28/2002 - 10/20/2005 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
B
 04/12/2001 - 03/26/2002 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) MEMPHIS, TN
B
 12/07/1998 - 04/12/2001 REGIONS INVESTMENT COMPANY, INC. (CRD#:17618) BIRMINGHAM, AL
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.