Craig H. Curtiss
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Craig Hanson Curtiss, who also goes by Craig H Curtiss, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1982. Craig had worked at 12 firms and has passed the Series 63, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2013 - July 8, 2014
MORGAN STANLEY
March 31, 2008 - May 1, 2013
CETERA INVESTMENT SERVICES LLC
September 8, 2004 - March 31, 2005
KALIN ASSOCIATES, INC.
May 1, 2003 - September 9, 2004
KABRIK TRADING LLC
December 21, 2001 - April 28, 2003
WALTER J. DOWD, INC.
October 1, 2000 - January 4, 2002
THE GRISWOLD COMPANY, INCORPORATED
January 31, 1994 - September 29, 1997
D. E. SHAW INVESTMENTS, L.P.
September 23, 1993 - September 29, 1997
D.E. SHAW SECURITIES, L.L.C.
April 27, 1990 - September 10, 1993
BMO CAPITAL MARKETS CORP.
October 20, 1989 - April 27, 1990
PERSHING LLC
March 12, 1987 - January 26, 1988
ADLER COLEMAN & CO., INC.
April 23, 1982 - June 3, 1985
KIDDER, PEABODY & CO. INCORPORATED
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 25
Date: 5/20/1999
NYSE Trading Assistant ExaminationCurrent Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
