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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

CAROLINE A PETERS

Advisor at MORGAN STANLEY

Fort Myers, FL

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Search this name across graphsid dfx:ria:556d6206-9175-d3f5-ba45-4c3f10935a5f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 19, 2014 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MORGAN STANLEY
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 3, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Mar 3, 2008
First registration: Nov 19, 2014
Dual registered: yes, broker-dealer
Other names: CAROLINE ANN ABRAHAM|CAROLINE ANN FAY|CAROLINE ANN MORRIS|Caroline A Morris
IAPD individual key: 5422617

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MORGAN STANLEY	Wirehouse	Jan 13, 2021	n/a	yes	Fort Myers, FL	Current employment
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Oct 28, 2020	Dec 8, 2020	no	Fort Myers, FL	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	May 3, 2016	Mar 17, 2020	no	Naples, FL	Previous registration
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	Mar 8, 2016	Apr 1, 2016	no	FORT MYERS, FL	Previous registration
BEACON CAPITAL MANAGEMENT, LLC	Independent wealth	Nov 19, 2014	May 27, 2015	no	FRANKLIN, TN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	MORGAN STANLEY	Dec 8, 2020	Jan 13, 2021	36	Firm change	Ibd to wirehouse
CHARLES SCHWAB & CO., INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Mar 17, 2020	Oct 28, 2020	225	Firm change	Ibd to ibd
OSAIC INSTITUTIONS, INC.	CHARLES SCHWAB & CO., INC.	Apr 1, 2016	May 3, 2016	32	Firm change	Other
BEACON CAPITAL MANAGEMENT, LLC	OSAIC INSTITUTIONS, INC.	May 27, 2015	Mar 8, 2016	286	Firm change	Other

Relationships

Registered with (5)

→ MORGAN STANLEYRegistered adviserregistration: current employment
Jan 13, 2021 to presentfactForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Oct 28, 2020 to Dec 8, 2020factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
May 3, 2016 to Mar 17, 2020factForm ADV
→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: previous registration
Mar 8, 2016 to Apr 1, 2016factForm ADV
→ BEACON CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 19, 2014 to May 27, 2015factForm ADV

Dated events

No dated event names this entity yet.