Keith A. Carr
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.
Keith Armistead Carr, who also goes by Keith A Carr, was a registered financial advisor .
Keith is a previously registered financial advisor and started their career in finance in 1972. Keith had worked at 7 firms and has passed the Series 65, Series 63, Series 15, PC, Series 3, Series 5, Series 1, 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 - February 18, 2010
MORGAN STANLEY
June 1, 2009 - February 18, 2010
MORGAN STANLEY
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
December 15, 1993 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
April 12, 1989 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
February 6, 1984 - April 18, 1989
TUCKER ANTHONY INCORPORATED
June 4, 1982 - February 22, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 13, 1978 - June 21, 1982
KIDDER, PEABODY & CO. INCORPORATED
August 23, 1976 - May 5, 1978
CITIGROUP GLOBAL MARKETS INC.
January 13, 1972 - October 15, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 15
Date: 3/25/1985
Foreign Currency Options ExaminationPC
Date: 3/9/1984
AMEX Put and Call ExamSeries 5
Date: 2/16/1982
Interest Rate Options ExaminationSeries 1
Date: 8/5/1966
Registered Representative ExaminationSeries 40
Date: 9/20/1973
Registered Principal ExaminationSeries 12
Date: 9/1/1973
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.
