Juan Jose Carom

CRD 4343069 · Morgan Stanley · Miami, FL

IA RegisteredBroker

Also appears in the source record as: Juan Carom Zapata

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 66SIESeries 3Series 7
Registered states (20): Alabama · California · Colorado · Connecticut · Delaware · Florida · Georgia · Illinois · Maryland · Massachusetts · Nevada · New York · Pennsylvania · Puerto Rico · South Dakota · Texas · Virgin Islands · Virginia · Washington · Wyoming
Years in the industry (source record): 25
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 (9)

From the source registration record · current first

Morgan StanleyCurrent
Miami, FL · IA capacity

Apr 12, 2016 → present
Ubs Financial Services Inc.
BD capacity

Jan 1, 2010 → Apr 22, 2016
Ubs Financial Services Inc.
IA capacity

Jan 1, 2010 → Apr 22, 2016
Ubs International Inc.
IA capacity

Oct 10, 2005 → Jan 1, 2010
Ubs International Inc.
BD capacity

Oct 7, 2005 → Jan 1, 2010
Wachovia Securities, LLC
BD capacity

Jul 1, 2003 → Oct 10, 2005
Wachovia Securities, LLC
IA capacity

Jul 1, 2003 → Oct 10, 2005
Prudential Securities Incorporated
IA capacity

Apr 16, 2001 → Jul 1, 2003
Prudential Securities Incorporated
BD capacity

Apr 4, 2001 → Jul 1, 2003

Source & corrections

Where this page comes from

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