Craig W. Micklich
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 William Micklich, who also goes by Craig William Micklich Mr., was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1997. Craig had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2016 - May 16, 2017
MORGAN STANLEY & CO. LLC
November 4, 2016 - February 1, 2019
MORGAN STANLEY
November 4, 2016 - February 1, 2019
MORGAN STANLEY
September 6, 2016 - November 8, 2016
RAYMOND JAMES & ASSOCIATES, INC.
September 6, 2016 - November 8, 2016
RAYMOND JAMES & ASSOCIATES, INC.
September 24, 2014 - September 6, 2016
DEUTSCHE BANK SECURITIES INC.
June 26, 2013 - September 6, 2016
DEUTSCHE BANK SECURITIES INC.
June 12, 2012 - May 7, 2013
KGS-ALPHA CAPITAL MARKETS, L.P.
November 1, 2011 - May 31, 2012
ALLY SECURITIES LLC
May 27, 2009 - September 9, 2011
FIRST EMPIRE SECURITIES, INC.
October 18, 2005 - August 6, 2007
CU INVESTMENT SOLUTIONS LLC
May 19, 2003 - October 18, 2005
WESCORP INVESTMENT SERVICES, LLC
March 28, 2000 - December 31, 2000
VOYA FINANCIAL ADVISORS, INC.
July 30, 1997 - December 31, 1999
VOYA FINANCIAL ADVISORS, 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
Current 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.
