Caroline Robles is a registered investment advisor at Morgan Stanley, based in Pleasanton, CA, with 3 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Location
4309 Hacienda Drive, Suite 200, Pleasanton, CA, 94588
Get directionsHistory
Regulatory History
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 →Other Business Activities
Caroline works full-time at BMO Harris Bank as of December 2024. She also uses BMO Investment Services as a DBA for her LPL business.
Employment History
Current Registrations
Morgan Stanley
Morgan StanleyBroker
Previous Registrations
LPL Financial LLC
LPL Financial LLCBroker
J.P. Morgan Securities LLC
J.P. Morgan Securities LLCBroker
State Registrations45 states
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.