AC
AC
Arthur Caruso is a registered investment advisor at Morgan Stanley, based in New York, NY, with 38 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
55 East 52nd Street, 28th Floor, New York, NY, 10055
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Regulatory History (3)
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Customer Dispute
September 2012Settled
Customer Dispute
December 1996Settled
Regulatory
December 1989Final
Employment History
Current Registrations
Morgan Stanley
March 2014 - Present · 12 yrs 4 mos
Morgan StanleyBroker
June 2009 - Present · 17 yrs 1 mo
Previous Registrations
Citigroup Global Markets INC.Broker
August 2008 - June 2009 · 10 mos
UBS Financial Services INC.
May 2005 - September 2008 · 3 yrs 4 mos
UBS Financial Services INC.Broker
March 1989 - September 2008 · 19 yrs 6 mos
Investors Center, INC.Broker
June 1988 - March 1989 · 9 mos
Blinder, Robinson & CO., INC.Broker
March 1988 - June 1988 · 3 mos
State Registrations33 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.