Charles T. Kuechler
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 Theodore Kuechler was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1968. Charles had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 5, Series 1, Series 24, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2009 - November 5, 2018
MORGAN STANLEY
June 1, 2009 - November 5, 2018
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
July 13, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
July 13, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
June 9, 2006 - July 13, 2006
WEDBUSH SECURITIES INC.
March 10, 1999 - July 13, 2006
WEDBUSH SECURITIES INC.
February 16, 1996 - January 26, 1999
PRUDENTIAL EQUITY GROUP, LLC
March 13, 1985 - January 29, 1996
UBS FINANCIAL SERVICES INC.
June 25, 1982 - March 29, 1985
SUTRO & CO. INCORPORATED
January 20, 1981 - September 24, 1982
MORGAN STANLEY DW INC.
August 7, 1979 - February 7, 1981
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
January 18, 1978 - August 23, 1979
LOEB PARTNERS
January 4, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
October 30, 1975 - January 4, 1977
LOEB, RHOADES & CO. INC.
July 27, 1973 - December 28, 1975
SHEARSON, HAMMILL & CO., INCORPORATED
January 3, 1973 - July 27, 1973
SUTRO & CO. INCORPORATED
September 10, 1968 - March 5, 1973
SHEARSON, HAMMILL & 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 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 1
Date: 2/18/1966
Registered Representative ExaminationSeries 40
Date: 11/17/1973
Registered Principal ExaminationSeries 12
Date: 6/19/1973
NYSE Branch Manager 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.
