Charles L. Abraham

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CRD#: 389

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 Lee Abraham was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1963. Charles had worked at 8 firms and has passed the Series 65, Series 63, Series 15, Series 5, PC, Series 1, Series 53, Series 24, Series 4 and Series 12 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 24, 2010 - April 15, 2014

MORGAN STANLEY

RIA

CRD#: 149777

DUBLIN, OH

Past

August 20, 2010 - April 15, 2014

MORGAN STANLEY

CRD#: 149777

DUBLIN, OH

Past

October 6, 1999 - August 23, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

COLUMBUS, OH

Past

October 1, 1999 - August 23, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

COLUMBUS, OH

Past

October 21, 1996 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

July 31, 1993 - October 31, 1996

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

February 15, 1988 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

Past

October 21, 1974 - February 15, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

August 15, 1973 - October 30, 1974

STONE & WEBSTER SECURITIES CORPORATION

CRD#: 794

Past

December 18, 1963 - September 8, 1973

GRADISON & COMPANY INCORPORATED

CRD#: 859

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MORGAN STANLEY

CRD#: 149777 / SEC#: 801-70103, 8-68191

RIA

Registered Investment Advisory firm - SEC (5/11/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/4/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/29/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 15

Date: 8/2/1988

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 10/22/1981

Interest Rate Options Examination

General Industry/Product Exam

PC

Date: 8/31/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 12/10/1963

Registered Representative Examination

Principal/Supervisory Exam

Series 53

Date: 8/2/1988

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/30/1981

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 9/13/1977

Registered Options Principal Examination

Principal/Supervisory Exam

Series 12

Date: 12/30/1975

NYSE Branch Manager Examination

Current Firm

MORGAN STANLEY

CRD#: 149777 / SEC#: 801-70103, 8-68191

RIA

Registered Investment Advisory firm - SEC (5/11/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

2000 Westchester Avenue, Purchase, NY 10577-2530

Mailing Address

1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231

Phone number

(914) 225-1000

Established

Delaware since 02/02/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

29,200

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

SELECT UMA PROGRAM BROCHURE (10/24/2025)

PORTFOLIO MANAGEMENT AND INSTITUTIONAL CASH ADVISORY PROGRAM BROCHURE (10/24/2025)

FINANCIAL PLANNING SERVICES PROGRAM BROCHURE (10/22/2025)

SEPARATE MANAGED ACCOUNT COMMISSION-BASED PROGRAM BROCHURE (10/17/2025)

SEPARATE MANAGED ACCOUNT WRAP PROGRAM BROCHURE (10/17/2025)

CONSULTING GROUP ADVISOR PROGRAM BROCHURE (10/17/2025)

ACCESS INVESTING PROGRAM BROCHURE (3/28/2025)

INSTITUTIONAL SERVICES PROGRAM BROCHURE (3/28/2025)

MORGAN STANLEY CORE PORTFOLIOS (3/28/2025)

OUTSOURCED CHIEF INVESTMENT OFFICE (OCIO) (3/28/2025)

ALTERNATIVE INVESTMENTS WRAP PROGRAM BROCHURE (3/28/2025)

GRAYSTONE CONSULTING PROGRAM BROCHURE (3/28/2025)

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	114

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/20/2025	Cover Page	Report
07/23/2024	Cover Page	Report
08/24/2023	Cover Page	Report

Red Flags

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