Carlos Alberto Vasquez

CRD 5020736 · Morgan Stanley · San Diego, CA

IA RegisteredBroker

Also appears in the source record as: Carlos Vasquez

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): Series 66SIESeries 7
Registered states (15): Arizona · California · Colorado · Delaware · Florida · Louisiana · Missouri · Nevada · New York · Oregon · South Dakota · Texas · Washington · Wisconsin · Wyoming
Years in the industry (source record): 20
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 5020736 contains one or more disclosure events as of Aug 20, 2026.

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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 (14)

From the source registration record · current first

Morgan StanleyCurrent
San Diego, CA · IA capacity

Apr 5, 2021 → present
Wells Fargo Clearing Services, LLC
IA capacity

Sep 30, 2013 → Apr 12, 2021
Wells Fargo Clearing Services, LLC
BD capacity

Sep 27, 2013 → Apr 12, 2021
J.P. Morgan Securities LLC
BD capacity

Oct 1, 2012 → Sep 27, 2013
J.P. Morgan Securities LLC
IA capacity

Oct 1, 2012 → Sep 27, 2013
Chase Investment Services Corp.
BD capacity

Aug 6, 2010 → Oct 1, 2012
Chase Investment Services Corp.
IA capacity

Aug 6, 2010 → Oct 1, 2012
Monoceros Capital Management, LLC
IA capacity

Sep 3, 2009 → Aug 9, 2010
Monoceros Capital Management, LLC
IA capacity

Sep 3, 2009 → Dec 31, 2009
Lpl Financial Corporation
BD capacity

Jun 30, 2009 → Jul 17, 2009
Lpl Financial Corporation
IA capacity

Jun 26, 2009 → Jul 17, 2009
Lpl Financial Corporation
IA capacity

Feb 26, 2007 → Mar 26, 2009
Lpl Financial Corporation
BD capacity

Sep 20, 2006 → Mar 26, 2009
Monoceros Capital Management, LLC
IA capacity

Jan 2, 2009 → Jan 13, 2009

Source & corrections

Where this page comes from

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