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Detailed Report
CHARLES ROSSER BROWN JR
CHARLIE BROWN JR
CRD#: 1738970
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 3120 FREDERICK ROAD
SUITE G
OPELIKA, AL 36801
Registration History
199019952000200520102015202020252 FIRMS2002 - 2009 (7 years)2 FIRMS2009 - Present (15 years)BTHE ROBINSON-HUMPHREY COMPANY, LLC (CRD# 723)1993 - 2002 (8 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1987 - 1994 (6 years)
Disclosure(s)
View By:
10/27/2006
Customer Dispute
Settled
7/16/2003
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 6/1/2009
B
Nebraska 2/22/2019
IA
Alabama 6/1/2009
B
Nevada 3/4/2019
B
Alaska 11/25/2022
B
New Hampshire 6/25/2015
B
Arizona 11/29/2022
B
New Jersey 11/14/2022
B
Arkansas 2/20/2019
B
New Mexico 2/21/2019
B
California 8/10/2021
B
New York 1/16/2021
B
Colorado 6/1/2009
B
North Carolina 6/1/2009
B
Connecticut 12/10/2021
B
North Dakota 2/25/2019
B
Delaware 12/5/2022
B
Ohio 12/11/2019
B
District of Columbia 11/14/2022
B
Oklahoma 5/12/2020
B
Florida 6/1/2009
B
Oregon 11/12/2022
B
Georgia 6/1/2009
B
Pennsylvania 11/14/2022
B
Hawaii 5/14/2021
B
Puerto Rico 3/4/2019
B
Idaho 11/14/2022
B
Rhode Island 3/1/2019
B
Illinois 4/29/2019
B
South Carolina 2/20/2019
B
Indiana 7/28/2014
B
South Dakota 2/20/2019
B
Iowa 11/15/2022
B
Tennessee 6/1/2009
B
Kansas 3/3/2021
B
Texas 2/26/2019
B
Kentucky 3/23/2023
IA
Texas 4/2/2020
B
Louisiana 3/25/2019
B
Utah 2/20/2019
B
Maine 11/14/2022
B
Vermont 11/15/2022
B
Maryland 7/24/2014
B
Virgin Islands 11/15/2022
B
Massachusetts 6/25/2015
B
Virginia 8/22/2014
B
Michigan 11/15/2022
B
Washington 2/20/2019
B
Minnesota 2/21/2019
B
West Virginia 11/14/2022
B
Mississippi 6/1/2009
B
Wisconsin 2/20/2019
B
Missouri 11/14/2022
B
Wyoming 11/21/2022
B
Montana 6/16/2021

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)
3120 FREDERICK ROAD SUITE G, OPELIKA, AL 36801
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
3120 FREDERICK ROAD SUITE G, OPELIKA, AL 36801
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/02/2002 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MONTGOMERY, AL
B
 01/02/2002 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MONTGOMERY, AL
B
 12/21/1993 - 01/02/2002 THE ROBINSON-HUMPHREY COMPANY, LLC (CRD#:723) ATLANTA, GA
B
 09/24/1987 - 01/04/1994 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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.