Charles B. Druid
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 Bahi Druid, who also goes by Charles Bahi Druid M.b.a, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1999. Charles had worked at 11 firms and has passed the Series 66, Series 63, Series 65, 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
January 9, 2018 - October 2, 2018
MORGAN STANLEY
December 5, 2017 - October 2, 2018
MORGAN STANLEY
March 12, 2014 - May 28, 2014
WELLS FARGO CLEARING SERVICES, LLC
August 9, 2013 - May 28, 2014
WELLS FARGO CLEARING SERVICES, LLC
March 27, 2013 - June 28, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 24, 2008 - August 4, 2009
PNC WEALTH MANAGEMENT LLC
March 25, 2008 - August 4, 2009
PNC WEALTH MANAGEMENT LLC
February 1, 2007 - March 31, 2008
HARRISDIRECT LLC
December 7, 2006 - March 31, 2008
E*TRADE SECURITIES LLC
May 27, 2005 - November 13, 2006
CITICORP INVESTMENT SERVICES
April 2, 2004 - June 16, 2005
TD WEALTH MANAGEMENT SERVICES INC.
April 1, 2004 - June 16, 2005
TD WEALTH MANAGEMENT SERVICES INC.
October 17, 2001 - April 1, 2004
CITICORP INVESTMENT SERVICES
August 25, 2000 - October 12, 2001
BNY MELLON SECURITIES CORPORATION
July 8, 1999 - June 16, 2000
PRUDENTIAL EQUITY GROUP, LLC
April 12, 1999 - June 21, 1999
REPUBLIC FINANCIAL SERVICES CORPORATION
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
Current 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.
