C D. Maxwell
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.
C D Maxwell, who also goes by Carl D Maxwell, Carl David Maxwell, Charlie D Maxwell, was a registered financial professional .
C is a previously registered financial professional and started their career in finance in 1972. C had worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31, Series 1 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 - August 7, 2023
MORGAN STANLEY
June 1, 2009 - August 7, 2023
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
May 17, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
May 17, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
February 5, 2001 - June 4, 2004
RBC CAPITAL MARKETS, LLC
January 12, 2001 - June 4, 2004
RBC CAPITAL MARKETS, LLC
January 2, 1997 - January 22, 2001
ABN AMRO INCORPORATED
September 11, 1990 - January 2, 1997
THE CHICAGO CORPORATION
January 25, 1988 - August 22, 1990
HOWE BARNES HOEFER & ARNETT, INC.
January 25, 1985 - January 9, 1988
HEALTHCARE CAPITAL INVESTMENTS, INC.
February 11, 1980 - November 5, 1984
CONCORD SERVICES L.L.C.
January 24, 1980 - February 7, 1981
HUTCHINSON, FOX, INC.
November 5, 1975 - September 20, 1979
INDIVIDUALS' FINANCIAL SERVICES, INCORPORATED
June 20, 1975 - November 14, 1975
PLA SECURITIES CORPORATION
July 24, 1972 - May 30, 1980
PAUL T. BRUCK & ASSOCIATES
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 ExaminationSeries 1
Date: 7/19/1972
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.
