Carlos Uscategui is a registered investment advisor at Morgan Stanley, based in Miami, FL, with 15 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
200 South Biscayne Boulevard, Suite 1100, Miami, FL, 33131
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Morgan Stanley
May 2016 - Present · 10 yrs 4 mos
Morgan StanleyBroker
May 2016 - Present · 10 yrs 4 mos
Previous Registrations
Credit Suisse Securities (USA) LLC
April 2013 - May 2016 · 3 yrs 1 mo
Credit Suisse Securities (USA) LLCBroker
April 2013 - May 2016 · 3 yrs 1 mo
J.P. Morgan Securities LLC
November 2012 - March 2013 · 4 mos
J.P. Morgan Securities LLCBroker
October 2012 - March 2013 · 5 mos
Chase Investment Services CORP.Broker
March 2012 - October 2012 · 7 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
November 2007 - June 2008 · 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 2007 - June 2008 · 9 mos
Waddell & Reed, INC.Broker
July 2007 - September 2007 · 2 mos
E*trade Securities LLCBroker
March 2007 - July 2007 · 4 mos
State Registrations27 states
ALCACOCTDCDEFLGAILKSMAMDMIMTNCNJNVNYOHPAPRSCSDTXVAVirgin IslandsWY
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.