Caroline Guy is a registered investment advisor at Morgan Stanley, based in Birmingham, AL, 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
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Location
3500 Colonnade Parkway, Suite 200, Birmingham, AL, 35243
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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
July 2021 - Present · 4 yrs 10 mos
Morgan StanleyBroker
April 2021 - Present · 5 yrs 1 mo
Previous Registrations
Wells Fargo Clearing Services, LLC
July 2014 - April 2021 · 6 yrs 9 mos
Wells Fargo Clearing Services, LLCBroker
June 2013 - April 2021 · 7 yrs 10 mos
Commerce Square Trading, LLCBroker
April 2011 - January 2013 · 1 yr 9 mos
Ftn Financial Securities CORPBroker
February 2008 - April 2011 · 3 yrs 2 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.