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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Ann Ruehl is a registered investment advisor with Morgan Stanley. Carol has been in the industry since 2005 and holds several licenses and certifications, including Series 7, 63, 31, and SIE. Carol has worked for Morgan Stanley since 2009 and previously worked for Wachovia Securities, LLC and Morgan Stanley DW Inc. Carol is registered in 36 states and provides advisory services including financial planning, pension consulting, asset allocation advice, selection of other advisors, and portfolio management for individuals, businesses, and investment companies.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
AZ
06/01/2009 - Present
Morgan Stanley (Tucson AZ)
AZ
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (TUCSON AZ)
AZ
02/15/2006 - 04/02/2007
MORGAN STANLEY DW INC. (TUCSON AZ)
AZ
01/05/2006 - 01/30/2006
WACHOVIA SECURITIES, LLC (TUCSON AZ)
NY
07/26/2005 - 01/04/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 10/04/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/22/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/06/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 07/25/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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