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Detailed Report
CAROLE ROBIN EPSTEIN
CAROLE EPSTEIN
CRD#: 4746367
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 2000 Westchester Avenue
1NC
Purchase, NY 10577
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2004 (<1 year)IAMORGAN STANLEY (CRD# 149777)2020 - Present (4 years)BMORGAN STANLEY (CRD# 149777)2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2007 - 2009 (1 year)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2004 - 2007 (3 years)
License(s)

State Registrations

B
Alaska 1/13/2025
B
New Hampshire 1/13/2025
B
Arizona 3/20/2013
B
New Jersey 6/1/2009
B
California 9/16/2016
B
New Mexico 1/13/2025
B
Colorado 10/28/2020
B
New York 6/1/2009
B
Connecticut 6/1/2009
IA
New York 6/16/2021
B
Delaware 4/13/2023
B
North Carolina 6/1/2009
B
District of Columbia 1/13/2025
B
Ohio 4/13/2023
B
Florida 2/8/2011
B
Oregon 1/13/2025
B
Georgia 6/13/2022
B
Pennsylvania 10/29/2009
B
Illinois 4/29/2024
B
Rhode Island 11/23/2015
B
Iowa 1/23/2019
B
South Carolina 12/16/2011
B
Maine 1/13/2025
B
Tennessee 4/27/2020
B
Maryland 1/13/2025
B
Texas 6/1/2009
B
Massachusetts 4/13/2023
IA
Texas 5/15/2020
B
Michigan 1/13/2025
B
Vermont 12/19/2018
B
Missouri 4/13/2023
B
Virginia 4/9/2019
B
Montana 1/13/2025
B
Washington 9/23/2024

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)
2000 Westchester Avenue 1NC, Purchase, NY 10577
Registered with this firm since 5/15/2020
B
MORGAN STANLEY (CRD#:149777)
2000 Westchester Avenue 1NC, Purchase, NY 10577
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 07/05/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MOUNT KISCO, NY
B
 06/03/2004 - 07/25/2007 UBS FINANCIAL SERVICES INC. (CRD#:8174) MT. KISCO, NY
B
 01/19/2004 - 03/24/2004 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
B
 01/19/2004 - 03/24/2004 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) 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.