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Detailed Report
CHARLES MICHAEL GROHS
CHUCK GROHS
CRD#: 1410512
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 700 Main Street
Suite 315
Napa, CA 94559
Registration History
1985199019952000200520102015202020252 FIRMS1997 - 2010 (12 years)2 FIRMS2010 - Present (15 years)BESSEX NATIONAL SECURITIES, INC. (CRD# 25454)1996 - 1997 (1 year)BMONTGOMERY SECURITIES (CRD# 4357)1995 - 1996 (1 year)BEXPANSION CAPITAL SECURITIES (CRD# 24121)1992 - 1994 (1 year)BNATIONAL SECURITIES CORPORATION (CRD# 7569)1988 - 1990 (2 years)BHARPER, MCLEAN & COMPANY (CRD# 902)1986 - 1988 (2 years)BPACIFIC GROWTH SECURITIES,INC. (CRD# 15247)1985 - 1986 (<1 year)
License(s)

State Registrations

B
Alabama 10/25/2022
B
Nebraska 9/13/2021
B
Alaska 10/25/2022
B
Nevada 7/25/2012
B
Arizona 2/11/2022
B
New Hampshire 10/25/2022
B
Arkansas 9/13/2021
B
New Jersey 10/25/2022
B
California 1/15/2010
B
New Mexico 12/10/2014
IA
California 1/19/2010
B
New York 10/25/2022
B
Colorado 10/18/2022
B
North Carolina 9/13/2021
B
Connecticut 10/25/2022
B
North Dakota 9/13/2021
B
Delaware 10/25/2022
B
Ohio 10/26/2022
B
District of Columbia 9/1/2021
B
Oklahoma 2/23/2022
B
Florida 3/9/2020
B
Oregon 11/25/2013
B
Georgia 9/13/2021
B
Pennsylvania 5/18/2021
B
Hawaii 10/25/2022
B
Puerto Rico 9/13/2021
B
Idaho 3/3/2022
B
Rhode Island 9/13/2021
B
Illinois 4/27/2012
B
South Carolina 9/13/2021
B
Indiana 9/13/2021
B
South Dakota 9/13/2021
B
Iowa 10/25/2022
B
Tennessee 9/1/2021
B
Kansas 10/25/2022
B
Texas 7/14/2017
B
Kentucky 10/25/2022
IA
Texas 2/24/2020
B
Louisiana 6/22/2010
B
Utah 9/13/2021
B
Maine 10/25/2022
B
Vermont 10/25/2022
B
Maryland 10/25/2022
B
Virgin Islands 10/25/2022
B
Massachusetts 11/18/2020
B
Virginia 10/25/2022
B
Michigan 11/18/2020
B
Washington 1/15/2010
B
Minnesota 8/23/2019
B
West Virginia 10/25/2022
B
Mississippi 9/13/2021
B
Wisconsin 9/13/2021
B
Missouri 10/25/2022
B
Wyoming 10/25/2022
B
Montana 9/13/2021

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)
700 Main Street Suite 315, Napa, CA 94559
3562 Round Barn Circle 1St Floor, Santa Rosa, CA 95403
Registered with this firm since 1/19/2010
B
MORGAN STANLEY (CRD#:149777)
700 Main Street Suite 315, Napa, CA 94559
3562 Round Barn Circle 1St Floor, Santa Rosa, CA 95403
Registered with this firm since 1/15/2010
Previous Registration(s)
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IA
 07/08/1997 - 01/25/2010 CHARLES SCHWAB & CO., INC. (CRD#:5393) NAPA, CA
B
 10/29/1997 - 01/25/2010 CHARLES SCHWAB & CO., INC. (CRD#:5393) NAPA, CA
B
 10/24/1996 - 10/22/1997 ESSEX NATIONAL SECURITIES, INC. (CRD#:25454) NAPA, CA
B
 05/26/1995 - 10/11/1996 MONTGOMERY SECURITIES (CRD#:4357) SAN FRANCISCO, CA
B
 11/13/1992 - 01/31/1994 EXPANSION CAPITAL SECURITIES (CRD#:24121)
FINRA expelled the firm on 01/24/1994
SAN FRANCISCO, CA
B
 09/27/1988 - 11/14/1990 NATIONAL SECURITIES CORPORATION (CRD#:7569) BOCA RATON, FL
B
 10/06/1986 - 10/01/1988 HARPER, MCLEAN & COMPANY (CRD#:902)
B
 11/20/1985 - 10/10/1986 PACIFIC GROWTH SECURITIES,INC. (CRD#:15247)
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.