FC
FC
Frederick Caswell
44 Years of Experience
Portland, ME
1 DisclosureBroker
Frederick Caswell is a registered investment advisor at Morgan Stanley, based in Portland, ME, with 44 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
100 Middle Street, 3rd Floor, Portland, ME, 04101
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Regulatory History (1)
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Customer Dispute
February 2003Settled
Other 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
June 2009 - Present · 16 yrs 11 mos
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Morgan Stanley & CO. Incorporated
January 2008 - June 2009 · 1 yr 5 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley Dw INC.Broker
November 1995 - April 2007 · 11 yrs 5 mos
Smith Barney INC.Broker
July 1993 - November 1995 · 2 yrs 4 mos
Lehman Brothers INC.Broker
March 1985 - July 1993 · 8 yrs 4 mos
E. F. Hutton & Company INCBroker
August 1981 - March 1985 · 3 yrs 7 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.