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Detailed Report
NICHOLAS MATTHEW CAROSA
NICHOLAS CAROSA
CRD#: 5785875
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 28 State Street 26Th Floor
Boston, MA 02110
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2010 - 2011 (1 year)2 FIRMS2012 - Present (13 years)
Disclosure(s)
View By:
7/5/2003
Criminal
Final Disposition
License(s)

State Registrations

B
Alabama 7/31/2014
B
Mississippi 9/6/2018
B
Arizona 2/28/2020
B
Nevada 6/25/2012
B
California 6/7/2012
B
New Hampshire 6/7/2012
B
Colorado 6/7/2012
B
New Jersey 6/7/2012
IA
Connecticut 2/14/2012
B
New Mexico 12/22/2024
B
Connecticut 3/7/2012
B
New York 4/27/2012
B
Delaware 1/28/2022
B
North Carolina 6/12/2012
B
District of Columbia 6/7/2012
B
Ohio 2/19/2015
B
Florida 6/7/2012
B
Oklahoma 8/2/2022
IA
Florida 5/6/2024
B
Oregon 12/23/2024
B
Georgia 6/7/2012
B
Pennsylvania 6/7/2012
B
Hawaii 7/13/2023
B
Rhode Island 4/11/2012
B
Illinois 6/7/2012
B
South Carolina 9/21/2012
B
Indiana 6/7/2012
B
Tennessee 9/20/2012
B
Kentucky 6/6/2012
B
Texas 6/13/2012
B
Louisiana 12/23/2024
IA
Texas 7/7/2016
B
Maine 6/7/2012
B
Utah 1/15/2020
B
Maryland 6/11/2012
B
Vermont 10/28/2019
B
Massachusetts 2/15/2012
B
Virginia 6/7/2012
B
Michigan 8/17/2016
B
Washington 3/4/2021
B
Minnesota 6/6/2012
B
Wisconsin 5/23/2024

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)
28 State Street 26Th Floor, Boston, MA 02110
200 South Biscayne Boulevard Suite 1100, Miami, FL 33131
Registered with this firm since 2/14/2012
B
MORGAN STANLEY (CRD#:149777)
28 State Street 26Th Floor, Boston, MA 02110
200 South Biscayne Boulevard Suite 1100, Miami, FL 33131
Registered with this firm since 2/14/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/20/2010 - 12/21/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) BOSTON, MA
B
 10/19/2010 - 12/21/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) PURCHASE, 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.