Charlie M. Cravy
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.
Charlie Mcclain Cravy, who also goes by C Mcclain Cravy Jr, C.mcclain Mcclain Cravy Jr, C.mcclain Cravy, Charlie M Cravy, Charlie Mcclain Cravy Jr, Mac Cravy, C.mcclain Cravy Jr., was a registered financial professional .
Charlie is a previously registered financial professional and started their career in finance in 1969. Charlie had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 1, Series 53, Series 4 and Series 24 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 - January 26, 2022
MORGAN STANLEY
June 1, 2009 - January 26, 2022
MORGAN STANLEY
February 13, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
February 13, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
August 14, 2000 - March 4, 2009
UBS FINANCIAL SERVICES INC.
August 14, 2000 - March 4, 2009
UBS FINANCIAL SERVICES INC.
August 21, 1998 - August 14, 2000
J.C. BRADFORD & CO.
May 11, 1998 - September 14, 1998
WELLS FARGO CLEARING SERVICES, LLC
December 3, 1971 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
April 6, 1971 - January 2, 1972
GERALD H. WRIGHT & COMPANY
September 17, 1969 - April 22, 1971
RAUSCHER PIERCE SECURITIES 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 8/8/1977
AMEX Put and Call ExamSeries 1
Date: 9/10/1968
Registered Representative 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.
