Douglas J. Christian
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.
Douglas James Christian, who also goes by Doug Christian, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1995. Douglas had worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 14, Series 24, Series 10, Series 9 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2023 - August 20, 2024
MORGAN STANLEY
March 13, 2023 - August 20, 2024
MORGAN STANLEY
April 27, 2009 - February 28, 2023
WELLS FARGO CLEARING SERVICES, LLC
March 28, 2008 - February 28, 2023
WELLS FARGO CLEARING SERVICES, LLC
October 24, 2007 - March 31, 2008
E*TRADE SECURITIES LLC
September 16, 1998 - April 19, 2007
TD AMERITRADE, INC.
December 22, 1997 - August 17, 1998
W.J. NOLAN & COMPANY, INC.
October 1, 1997 - December 8, 1997
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 20, 1997 - October 8, 1997
SHAMUS GROUP, INC.
February 5, 1996 - March 3, 1997
AMERICORP SECURITIES, INC.
November 21, 1995 - January 5, 1996
RICKEL & ASSOCIATES, INC.
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 99TO
Date: 1/2/2023
Operations Professional 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.
