CK
CK
Caitlin Kauke
17 Years of Experience
Rockville Centre, NY
1 DisclosureBroker
Caitlin Kauke is a registered investment advisor at Morgan Stanley, based in Rockville Centre, NY, with 17 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
Loading...
Location
Rockville Centre, NY
Get directionsHistory
Regulatory History (1)
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.
Criminal
September 2003Final Disposition
Employment History
Current Registrations
Morgan Stanley
July 2011 - Present · 15 yrs 2 mos
Morgan StanleyBroker
June 2009 - Present · 17 yrs 3 mos
Morgan Stanley
June 2009 - Present · 17 yrs 3 mos
Previous Registrations
Citigroup Global Markets INC.Broker
May 2008 - June 2009 · 1 yr 1 mo
State Registrations44 states
ALAZCACOCTDCDEFLGAHIIAILKSMAMDMEMIMNMOMTNCNENHNJNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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.