CZ
CZ

Caroline Zuendel

6 Years of Experience
Raleigh, NC
Broker

Caroline Zuendel is a registered investment advisor at Morgan Stanley, based in Raleigh, NC, with 6 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

3800 Glenwood Avenue, Suite 500, Raleigh, NC, 27612

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History

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.

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Other Business Activities

Caroline is a co-author, writing outside of business hours since April 2023. This activity takes minimal time.

Employment History
Current Registrations
Morgan StanleyBroker
April 2022 - Present · 4 yrs 1 mo
Morgan Stanley
February 2022 - Present · 4 yrs 3 mos
Previous Registrations
Triangle Wealth Management
March 2021 - July 2021 · 4 mos
The Investment Advisor Alliance LLC
May 2018 - May 2020 · 2 yrs
Morgan Stanley
January 2018 - April 2018 · 3 mos
Morgan StanleyBroker
November 2017 - April 2018 · 5 mos
State Registrations46 states
ALAZCACOCTDCDEFLGAHIIAILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPARISCTNTXUTVAVTWAWIWV
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.
Caroline Zuendel - Financial Advisor | TrueAdvisor