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Detailed Report
DAVID CARLTON GROVE II
DA DVID CARLTON GROVE, DAVID CARLTON (II) GROVE
CRD#: 1146249
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 4800 Meadows Road
Suite 400
Lake Oswego, OR 97035
Registration History
1985199019952000200520102015202020252 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - Present (15 years)BMORGAN STANLEY DW INC. (CRD# 7556)2006 - 2007 (<1 year)BRBC DAIN RAUSCHER INC. (CRD# 31194)2002 - 2006 (4 years)BSUTRO & CO. INCORPORATED (CRD# 801)2000 - 2002 (2 years)BGROVE SECURITIES, INC. (CRD# 28259)1991 - 2000 (8 years)BMURPHEY FAVRE, INC. (CRD# 599)1987 - 1991 (4 years)BSOMERS, GROVE & CO., INC. (CRD# 5294)1983 - 1987 (3 years)
Disclosure(s)
View By:
5/13/1997
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
Arizona 6/1/2009
B
Oregon 6/1/2009
B
California 6/1/2009
IA
Oregon 6/1/2009
B
Colorado 6/1/2009
IA
Texas 12/9/2015
B
Hawaii 6/1/2009
B
Texas 12/17/2015
B
Massachusetts 6/1/2009
B
Utah 4/26/2011
B
Minnesota 6/1/2009
B
Washington 6/1/2009
B
Montana 6/1/2009
B
Wisconsin 12/19/2023
B
Nevada 10/28/2015
B
Wyoming 6/23/2021
B
New Mexico 12/13/2024

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
4800 Meadows Road Suite 400, Lake Oswego, OR 97035
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
4800 Meadows Road Suite 400, Lake Oswego, OR 97035
Registered with this firm since 6/1/2009
Previous Registration(s)
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IA
 11/30/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LAKE OSWEGO, OR
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LAKE OSWEGO, OR
B
 07/07/2006 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) LAKE OSWEGO, OR
B
 03/09/2002 - 07/13/2006 RBC DAIN RAUSCHER INC. (CRD#:31194) LAKE OSWEGO, OR
B
 03/17/2000 - 03/09/2002 SUTRO & CO. INCORPORATED (CRD#:801) SAN FRANCISCO, CA
B
 05/31/1991 - 03/20/2000 GROVE SECURITIES, INC. (CRD#:28259) WILSONVILLE, OR
B
 01/30/1987 - 06/05/1991 MURPHEY FAVRE, INC. (CRD#:599) IRVINE, CA
B
 07/21/1983 - 01/30/1987 SOMERS, GROVE & CO., INC. (CRD#:5294)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.