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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

Caroline A Zuendel

Advisor at MORGAN STANLEY

Raleigh, NC

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Search this name across graphsid dfx:ria:5d503407-9193-5bdc-a095-d6f8580fef33

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 2, 2018 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: Aug 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Dec 30, 2017
First registration: Jan 2, 2018
Dual registered: yes, broker-dealer
Other names: Caroline Ann Tupper|Caroline Ann Zuendel
IAPD individual key: 6851160

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	Feb 4, 2022	n/a	yes	Raleigh, NC	Current employment
TRIANGLE WEALTH MANAGEMENT	Independent wealth	Mar 24, 2021	Jul 16, 2021	no	RALEIGH, NC	Previous registration
THE INVESTMENT ADVISOR ALLIANCE LLC	Former SEC adviser	May 2, 2018	May 29, 2020	no	Cary, NC	Previous registration
MORGAN STANLEY	Wirehouse	Jan 2, 2018	Apr 27, 2018	no	RALEIGH, NC	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
TRIANGLE WEALTH MANAGEMENT	MORGAN STANLEY	Jul 16, 2021	Feb 4, 2022	203	Firm change	RIA to wirehouse
THE INVESTMENT ADVISOR ALLIANCE LLC	TRIANGLE WEALTH MANAGEMENT	May 29, 2020	Mar 24, 2021	299	Firm change	RIA to RIA
MORGAN STANLEY	THE INVESTMENT ADVISOR ALLIANCE LLC	Apr 27, 2018	May 2, 2018	5	Firm change	Wirehouse to RIA

Relationships

Registered with (3)

→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jan 2, 2018 to Apr 27, 2018factForm ADV
→ TRIANGLE WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Mar 24, 2021 to Jul 16, 2021factForm ADV
→ THE INVESTMENT ADVISOR ALLIANCE LLCRegistered adviserregistration: previous registration
May 2, 2018 to May 29, 2020factForm ADV

Dated events

No dated event names this entity yet.