Kathleen Carroll
Kathleen Carroll is a registered investment advisor at Morgan Stanley, based in Menlo Park, CA, with 31 years of industry experience. Kathleen 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
2725 Sand Hill Road, Menlo Park, CA, 94025
Get directionsHistory
Regulatory History (4)
Judgment / Lien
June 1998Judgment / Lien
August 1996Judgment / Lien
June 1993Judgment / Lien
April 1993Employment History
Current Registrations
Morgan StanleyBroker
Morgan Stanley
Previous Registrations
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley & CO. Incorporated
Morgan Stanley
Morgan Stanley Dw INC.Broker
Mclaughlin, Piven, Vogel Securities, INC.Broker
State Registrations52 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
More Advisors
- Robert ManningMorgan Stanley
- April HeronMorgan Stanley
- Hui WongMorgan Stanley
- Emmanuel AssaMorgan Stanley
- Steven DanielsMorgan Stanley
- Trevor DareMorgan Stanley