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Carole Ricci

14 Years of Experience
Greenville, DE
Broker

Carole Ricci is a registered investment advisor at Morgan Stanley, based in Greenville, DE, with 14 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

500 DuPont Field Blvd., Suite 300, Greenville, DE, 19807

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History

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.

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Other Business Activities

Carole serves as an executor/co-executor for an estate since 2021. This activity requires minimal time outside of business hours.

Employment History
Current Registrations
Morgan Stanley
July 2018 - Present · 7 yrs 10 mos
Morgan StanleyBroker
July 2016 - Present · 9 yrs 10 mos
Previous Registrations
RBC Capital Markets, LLCBroker
June 2011 - February 2016 · 4 yrs 8 mos
State Registrations45 states
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AdvisorBrokerBoth

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
No exam information available for this advisor.
Carole Ricci - Financial Advisor | TrueAdvisor