Frederick Caswell
Frederick Caswell is a registered investment advisor at Morgan Stanley, based in Portland, ME, with 45 years of industry experience. Frederick is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, High Net Worth, Investment Management, Retirement Planning. Their firm serves 2,703,720 clients with $2000B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Morgan Stanley Smith Barney LLC charges a fee for its consulting services, which is generally payable quarterly in advance. The maximum fee for the services is $500,000, and fees are negotiable between the client and their private wealth advisor.
Location
100 Middle Street, 3rd Floor, Portland, ME, 04101
Get directionsHistory
Regulatory History (1)
Customer Dispute
February 2003Other Business Activities
Frederick serves as a trustee/co-trustee for a trust since January 2022, dedicating minimal time to this activity. This is related to estate administration.
Employment History
Current Registrations
Morgan StanleyBroker
Morgan Stanley
Previous Registrations
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley Dw INC.Broker
Smith Barney INC.Broker
Lehman Brothers INC.Broker
E. F. Hutton & Company INCBroker
State Registrations53 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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