CV
CV
Carlos Vasquez is a registered investment advisor at Morgan Stanley, based in San Diego, CA, with 19 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
101 West Broadway, Suite 1800, San Diego, CA, 92101
Get directionsHistory
Regulatory History (2)
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Customer Dispute
January 2014Denied
Customer Dispute
May 2011Settled
Employment History
Current Registrations
Morgan Stanley
April 2021 - Present · 5 yrs 5 mos
Morgan StanleyBroker
April 2021 - Present · 5 yrs 5 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
September 2013 - April 2021 · 7 yrs 7 mos
Wells Fargo Clearing Services, LLCBroker
September 2013 - April 2021 · 7 yrs 7 mos
J.P. Morgan Securities LLCBroker
October 2012 - September 2013 · 11 mos
J.P. Morgan Securities LLC
October 2012 - September 2013 · 11 mos
Chase Investment Services CORP.Broker
August 2010 - October 2012 · 2 yrs 2 mos
Chase Investment Services CORP.
August 2010 - October 2012 · 2 yrs 2 mos
Monoceros Capital Management, LLC
September 2009 - August 2010 · 11 mos
Monoceros Capital Management, LLC
September 2009 - December 2009 · 3 mos
LPL Financial CorporationBroker
June 2009 - July 2009 · 1 mo
LPL Financial Corporation
June 2009 - July 2009 · 1 mo
Monoceros Capital Management, LLC
January 2009 - January 2009 · 0 mos
LPL Financial Corporation
February 2007 - March 2009 · 2 yrs 1 mo
LPL Financial CorporationBroker
September 2006 - March 2009 · 2 yrs 6 mos
State Registrations15 states
AZCACODEFLLAMONVNYORSDTXWAWIWY
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.