Charles M. Jennings
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.
Charles Michael Jennings was a registered financial advisor .
Charles is a previously registered financial advisor and started their career in finance in 1970. Charles had worked at 13 firms and has passed the Series 65, Series 63, Series 7, Series 1, Series 24 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
December 12, 1997 - August 6, 2003
MORGAN STANLEY DW INC.
July 9, 1993 - August 6, 2003
MORGAN STANLEY DW INC.
March 21, 1991 - July 16, 1993
WELLS FARGO CLEARING SERVICES, LLC
September 13, 1990 - December 13, 1990
SONOMA SECURITIES CORPORATION
August 25, 1988 - September 19, 1988
W&S BROKERAGE SERVICES, INC.
May 12, 1988 - June 30, 1988
TCC SECURITIES CORPORATION
March 10, 1987 - January 18, 1988
JONES INTERNATIONAL SECURITIES, LTD.
March 7, 1985 - December 13, 1986
ANGELES SECURITIES CORPORATION
November 8, 1977 - June 11, 1978
SHEARSON HAYDEN STONE INC.
August 27, 1975 - October 31, 1977
PHILLIPS CAPITAL
November 20, 1974 - September 22, 1975
FIRST JEFFERSON SECURITIES, INC.
January 15, 1974 - December 14, 1975
LEARNED & COMPANY, INC.
February 8, 1972 - March 19, 1974
MULTIVEST SECURITIES INC
November 4, 1971 - February 25, 1974
FIRST JEFFERSON SECURITIES, INC.
October 29, 1970 - December 16, 1971
CENTURY PLANNING ASSOCIATES 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: 7/11/1969
Registered Representative ExaminationSeries 00
Date: 1/20/1971
General Securities Principal ExaminationCurrent Firm
MORGAN STANLEY DW INC.
CRD#: 7556 / SEC#: , 8-14172
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY | PARENT | |
| CHENG, NOLAND | CHIEF OPERATIONS OFFICER | 2072097 |
| CIMINERA, LAURA | CROP | 1388279 |
| GELFAND, JEFFREY ALLEN | CHIEF FINANCIAL OFFICER | |
| GORMAN, JAMES PATRICK | PRESIDENT,CHIEF OPERATING OFFICER,CHIEF EXECUTIVE OFFICER | 4026328 |
| GUEREN, RICHARD DANIEL | SROP, EXECUTIVE DIRECTOR | 1146589 |
| HANAN, SHELLEY SUZANNE | DIRECTOR | 1327260 |
| HARRIS, RAYMOND ALBERT JR | DIRECTOR | 1363371 |
| KNAPP, MATTHEW PAUL | CHIEF COMPLIANCE OFFICER FOR ADVISORY BUSINESS | 2514353 |
| MCMAHON, WILLIAM A | MANAGING DIRECTOR | 703705 |
| OROSCHAKOFF, MICHELLE | COMPLIANCE DIRECTOR FOR BROKER DEALER | 2403199 |
| WICKMAN, KIRK PETER | GENERAL COUNSEL, MANAGING DIRECTOR, DIRECTOR |
Disclosures
| Regulatory Event | 152 |
| Arbitration | 606 |
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.
