Nancy Caraballo is a registered investment advisor at Morgan Stanley, based in Houston, TX, with 41 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
2800 Post Oak Boulevard, 18th Floor, Houston, TX, 77056
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Morgan StanleyBroker
April 2021 - Present · 5 yrs 1 mo
Morgan Stanley
April 2021 - Present · 5 yrs 1 mo
Previous Registrations
Pruco Securities, LLC.Broker
August 2018 - April 2021 · 2 yrs 8 mos
Prudential Financial Planning Services
August 2018 - April 2021 · 2 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2004 - August 2018 · 13 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2000 - August 2018 · 18 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1989 - September 1998 · 8 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 1983 - September 1998 · 15 yrs 3 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.