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Kimberly Caggiano

Morgan Stanley
27 Years of Experience
Providence, RI
2 DisclosuresBroker
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Kimberly Caggiano is a registered investment advisor at Morgan Stanley, based in Providence, RI, with 27 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.

Morgan Stanley
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
View Full SEC Brochure

Location

One Financial Plaza, 19th Floor, Providence, RI, 02903

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2013
Withdrawn
Customer Dispute
January 2013
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Morgan Stanley
November 2022 - Present · 3 yrs 6 mos
Morgan StanleyBroker
October 2022 - Present · 3 yrs 7 mos
Previous Registrations
Morgan Stanley
October 2022 - October 2022 · 0 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
July 2013 - October 2022 · 9 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 2013 - October 2022 · 9 yrs 9 mos
Cco Investment Services CORP.Broker
September 2001 - January 2013 · 11 yrs 4 mos
Fidelity Investments Institutional Services Company, INC.Broker
September 1999 - September 2001 · 2 yrs
Scudder Investor Services, INC.Broker
November 1998 - September 1999 · 10 mos
Evergreen Investment Services, INC.Broker
February 1998 - July 1998 · 5 mos
State Registrations28 states
AZCACOCTFLGAIAILINKYMAMEMONCNHNJNVNYOHORPARISCTXVAVTWIWV
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.
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