Caryl-Lyn Mazullo

CRD 2281908 · Morgan Stanley · Columbia, MD

IA RegisteredBroker

Also appears in the source record as: Caryl Lyn Finno; Caryllyn Finno; Caryllyn Mazullo

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 65Series 63Series 10Series 9SIESeries 7
Registered states (27): Arizona · Arkansas · California · Colorado · Connecticut · District Of Columbia · Florida · Georgia · Hawaii · Illinois · Indiana · Kansas · Maryland · Massachusetts · Michigan · Nevada · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · South Carolina · Texas · Virginia · Washington
Years in the industry (source record): 33
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Morgan Stanley
Firm CRD: 149777
SEC number: 801-70103
Assets under management: $2.0T as of Jun 30, 2026
Website: www.morganstanley.com ↗
Phone: 914-225-5510
Firm location: Purchase, NY, 10577-2530

Employment history (10)

From the source registration record · current first

Morgan StanleyCurrent
Columbia, MD · IA capacity

Apr 29, 2022 → present
Ubs Financial Services Inc.
IA capacity

Apr 19, 2013 → May 10, 2022
Ubs Financial Services Inc.
BD capacity

Nov 12, 2010 → May 10, 2022
Morgan Stanley Smith Barney
BD capacity

Jun 1, 2009 → Nov 29, 2010
Citigroup Global Markets Inc.
BD capacity

Sep 15, 2006 → Jun 1, 2009
Merrill Lynch Pierce Fenner & Smith Inc.
IA capacity

Jan 2, 2001 → Sep 25, 2006
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Jul 18, 1996 → Sep 25, 2006
Ash & Co. Incorporated
BD capacity

Feb 28, 1996 → Jul 2, 1996
Fsg Securities, Inc.
BD capacity

Apr 13, 1994 → Apr 27, 1995
Smith Barney Shearson Inc.
BD capacity

Sep 15, 1993 → Mar 29, 1994

Source & corrections

Where this page comes from

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