Carol J. Spiegel
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carol J Spiegel, who also goes by Carol Ann Howerton, Carol Ann Johnston, Carol Ann Spiegel, Carol Johnston Spiegel, Carol Spiegel, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1992. Carol had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2023 - November 12, 2024
MORGAN STANLEY
May 5, 2023 - November 12, 2024
MORGAN STANLEY
November 13, 2019 - May 24, 2023
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
November 12, 2019 - May 24, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
April 25, 2014 - November 20, 2019
UBS FINANCIAL SERVICES INC.
April 25, 2014 - November 20, 2019
UBS FINANCIAL SERVICES INC.
April 17, 2013 - April 28, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 17, 2013 - April 28, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 3, 2004 - April 15, 2013
UBS FINANCIAL SERVICES INC.
August 3, 2004 - April 15, 2013
UBS FINANCIAL SERVICES INC.
December 9, 2002 - July 15, 2004
THE SEIDLER COMPANIES INCORPORATED
May 13, 1998 - December 9, 2002
ROTH CAPITAL PARTNERS, LLC
May 19, 1997 - May 8, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 9, 1993 - April 28, 1997
SUTRO & CO. INCORPORATED
May 26, 1993 - September 22, 1993
PRUDENTIAL EQUITY GROUP, LLC
June 29, 1992 - April 26, 1993
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 12/9/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
