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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nancy? Claim Your ProfileNancy Caraballo is a financial advisor at Morgan Stanley in Houston, Texas. Nancy has been in the financial industry since 1985. She has a diverse background in financial services, having worked previously at Pruco Securities LLC and Merrill Lynch. Nancy is licensed to provide investment advice and securities trading in many states and holds the Series 7, Series 63 and Series 65 licenses. Nancy is dedicated to providing personalized financial advice to her clients and has a strong commitment to helping them achieve their financial goals.
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
TX
04/22/2021 - Present
Morgan Stanley (Houston TX)
TX
08/31/2018 - 04/05/2021
PRUCO SECURITIES, LLC. (HOUSTON TX)
TX
03/31/2000 - 08/14/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
NA
11/22/1989 - 09/08/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NY
06/22/1983 - 09/08/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 09/22/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/29/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/1983
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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