David C. Grove
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.
David Carlton Grove was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1966. David had worked at 9 firms and has passed the Series 65, Series 63, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2007 - December 31, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - January 4, 2008
MORGAN STANLEY & CO. LLC
July 7, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
July 7, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
April 15, 2002 - July 13, 2006
RBC CAPITAL MARKETS, LLC
March 9, 2002 - July 13, 2006
RBC CAPITAL MARKETS, LLC
March 17, 2000 - March 9, 2002
SUTRO & CO. INCORPORATED
May 31, 1991 - March 20, 2000
GROVE SECURITIES, INC.
January 30, 1987 - June 5, 1991
WAMU INVESTMENTS, INC.
October 14, 1971 - January 30, 1987
SOMERS, GROVE & CO., INC.
May 6, 1971 - October 14, 1971
SOMERS COMPBELL LIND & COLLINS INC
December 28, 1966 - June 7, 1971
BIRR, WILSON & CO., INC.
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 1
Date: 5/14/1965
Registered Representative ExaminationSeries 00
Date: 10/8/1971
General Securities Principal ExaminationCurrent Firm
MORGAN STANLEY & CO. LLC
CRD#: 8209 / SEC#: , 8-15869
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
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.
