Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
CARYN HEATHER ALLES
CARYN HEATHER CARLSON
CRD#: 4255618
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 760 SW 9th Avenue
Suite 2100
Portland, OR 97205
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - Present (15 years)BMORGAN STANLEY DW INC. (CRD# 7556)2002 - 2007 (4 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)2000 - 2002 (1 year)IAMORGAN STANLEY (CRD# 7556)2003 - 2007 (4 years)
License(s)

State Registrations

B
Arizona 6/1/2009
B
Nebraska 10/9/2019
B
California 6/1/2009
B
Nevada 2/28/2022
B
Colorado 6/1/2009
B
New Jersey 9/2/2020
B
District of Columbia 6/1/2009
B
New Mexico 2/9/2024
B
Florida 6/1/2009
B
New York 10/29/2019
B
Georgia 12/1/2009
B
Ohio 2/9/2024
B
Hawaii 9/10/2024
B
Oklahoma 6/1/2009
B
Idaho 11/2/2016
B
Oregon 6/1/2009
B
Illinois 6/1/2009
IA
Oregon 6/1/2009
B
Indiana 6/3/2022
B
Pennsylvania 1/24/2019
B
Iowa 2/12/2024
B
South Carolina 12/7/2021
B
Kansas 2/9/2024
B
Tennessee 2/9/2024
B
Kentucky 6/1/2009
B
Texas 6/1/2009
B
Louisiana 6/1/2009
IA
Texas 6/1/2009
B
Maryland 2/12/2024
B
Utah 6/1/2009
B
Michigan 11/14/2022
B
Virginia 9/12/2024
B
Minnesota 3/22/2024
B
Washington 6/1/2009
B
Missouri 7/12/2019
B
Wisconsin 3/12/2024
B
Montana 2/13/2024
B
Wyoming 2/21/2024

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)
760 SW 9th Avenue Suite 2100, Portland, OR 97205
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
760 SW 9th Avenue Suite 2100, Portland, OR 97205
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) PORTLAND, OR
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PORTLAND, OR
IA
 04/23/2003 - 04/02/2007 MORGAN STANLEY (CRD#:7556) PORTLAND, OR
B
 05/01/2002 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) PORTLAND, OR
B
 10/13/2000 - 03/13/2002 SALOMON SMITH BARNEY INC. (CRD#:7059) 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.