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Caroline A Zuendel
Caroline Ann Tupper, Caroline Ann Zuendel
CRD#: 6851160
IA
B
MORGAN STANLEYCRD#: 149777 3800 Glenwood Avenue
Suite 500
RALEIGH, NC 27612
Suite 500
RALEIGH, NC 27612
0
Disclosures
5
Years of Experience
View By:
State Registrations
B
Alabama 10/5/2023
B
Nebraska 9/26/2022
B
Arizona 4/6/2023
B
Nevada 10/20/2023
B
California 9/26/2022
B
New Hampshire 9/26/2022
B
Colorado 7/1/2022
B
New Jersey 9/26/2022
B
Connecticut 7/1/2022
B
New Mexico 10/6/2023
B
Delaware 9/26/2022
B
New York 9/26/2022
B
District of Columbia 7/1/2022
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North Carolina 2/4/2022
B
Florida 7/1/2022
B
North Carolina 9/28/2022
B
Georgia 9/26/2022
B
North Dakota 4/18/2023
B
Hawaii 9/26/2022
B
Ohio 10/21/2023
B
Illinois 9/26/2022
B
Oklahoma 9/26/2022
B
Indiana 10/5/2023
B
Oregon 4/18/2023
B
Iowa 3/3/2025
B
Pennsylvania 9/26/2022
B
Kansas 9/26/2022
B
Rhode Island 10/20/2023
B
Kentucky 10/20/2023
B
South Carolina 9/26/2022
B
Louisiana 10/20/2023
B
Tennessee 10/20/2023
B
Maine 10/20/2023
B
Texas 9/26/2022
B
Maryland 4/18/2023
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Texas 9/28/2022
B
Massachusetts 9/26/2022
B
Utah 3/3/2025
B
Michigan 10/20/2023
B
Vermont 2/28/2025
B
Minnesota 9/26/2022
B
Virginia 9/26/2022
B
Mississippi 10/20/2023
B
Washington 9/26/2022
B
Missouri 9/26/2022
B
West Virginia 9/26/2022
B
Montana 2/28/2025
B
Wisconsin 1/10/2023
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 2/4/2022
B
Registered with this firm since 4/4/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/24/2021 - 07/16/2021 | RALEIGH, NC | |
IA | 05/02/2018 - 05/29/2020 | Cary, NC | |
IA | 01/02/2018 - 04/27/2018 | RALEIGH, NC | |
B | 11/03/2017 - 04/27/2018 | RALEIGH, NC |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.