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Detailed Report
SCOTT MICHAEL CASTON
CRD#: 4860232
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 800 Newport Center Drive
Suite 500
Newport Beach, CA 92660
Registration History
200620082010201220142016201820202022202420262 FIRMS2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2005 - 2009 (3 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2005 - 2005 (<1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2007 - 2009 (1 year)
License(s)

State Registrations

B
Alabama 4/23/2024
B
Nebraska 4/13/2022
B
Arizona 3/4/2015
B
Nevada 6/1/2009
B
California 6/1/2009
B
New Jersey 5/24/2011
IA
California 6/1/2009
B
New Mexico 6/7/2024
B
Colorado 4/17/2019
B
New York 8/10/2018
B
Connecticut 9/13/2011
B
North Carolina 4/13/2022
B
Delaware 4/23/2024
B
Ohio 4/14/2022
B
Florida 3/17/2020
B
Oklahoma 4/23/2024
B
Georgia 7/11/2018
B
Oregon 12/6/2018
B
Hawaii 12/14/2016
B
Pennsylvania 4/13/2022
B
Idaho 1/5/2024
B
Rhode Island 9/14/2020
B
Illinois 5/21/2018
B
South Carolina 1/6/2016
B
Indiana 4/13/2022
B
South Dakota 4/13/2022
B
Kansas 4/23/2024
B
Tennessee 4/23/2024
B
Kentucky 4/23/2024
B
Texas 7/24/2015
B
Louisiana 2/10/2021
IA
Texas 3/3/2020
B
Maine 9/14/2011
B
Utah 4/20/2017
B
Maryland 4/13/2022
B
Vermont 4/13/2022
B
Massachusetts 7/7/2017
B
Virginia 4/13/2022
B
Michigan 4/3/2020
B
Washington 12/5/2018
B
Minnesota 4/13/2022
B
Wisconsin 4/23/2024
B
Montana 3/25/2011

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)
800 Newport Center Drive Suite 500, Newport Beach, CA 92660
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
800 Newport Center Drive Suite 500, Newport Beach, CA 92660
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/06/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN FRANCISCO, CA
B
 11/30/2005 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN FRANCISCO, CA
B
 06/07/2005 - 11/28/2005 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
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.