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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frederick? Claim Your ProfileFrederick Moffat Caswell is a financial advisor registered with Morgan Stanley. Frederick Caswell has been in the financial services industry since August 8, 1981. Frederick Caswell is registered with the following states: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, and Wyoming. Frederick Caswell is also a registered representative with the following states: California, Maine, New Hampshire, and Texas. Frederick Caswell has a Series 63, 65, and 66 licenses. Frederick Caswell is also a Series 3, 7, 8, 9, 10, 79TO, and SIE licensed. Frederick Caswell also has a Series 8 license. Frederick Caswell is currently employed by Morgan Stanley in Portland, Maine. Frederick Caswell has previously been employed by Smith Barney Inc., Lehman Brothers Inc., E. F. Hutton & Company Inc., Morgan Stanley DW Inc., and Morgan Stanley & Co. Incorporated.
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
ME
04/08/2020 - Present
Morgan Stanley (Portland ME)
MA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BOSTON MA)
MA
11/15/1995 - 04/02/2007
MORGAN STANLEY DW INC. (WELLESLEY MA)
NY
07/31/1993 - 11/21/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
03/29/1985 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
08/06/1981 - 03/25/1985
E. F. HUTTON & COMPANY INC
BOTH
Issued 06/14/2010
Series 66 - Uniform Combined State Law Examination
IA
Issued 10/02/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/15/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/10/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/09/2001
Series 3 - National Commodity Futures Examination
BC
Issued 06/20/1981
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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