Individual Firm
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CHARLES WENDELL GRIMES JR
CRD#: 3107966
IA
B
MORGAN STANLEYCRD#: 149777 8701 Bee Caves Road
Suite 300
Austin, TX 78746
Suite 300
Austin, TX 78746
0
Disclosures
26
Years of Experience
View By:
State Registrations
B
Alabama 7/29/2022
B
Nevada 2/15/2023
B
Arkansas 2/15/2023
B
New Jersey 12/12/2024
B
California 11/29/2012
B
New York 8/2/2021
B
Colorado 11/14/2019
B
North Carolina 11/8/2019
B
Connecticut 12/16/2024
B
Ohio 2/16/2023
B
Florida 9/7/2012
B
Oklahoma 9/7/2012
B
Georgia 2/24/2023
B
Oregon 2/15/2023
B
Hawaii 2/15/2023
B
Pennsylvania 12/12/2024
B
Illinois 9/7/2012
B
South Carolina 1/11/2018
B
Indiana 12/12/2024
B
Tennessee 11/23/2016
B
Kentucky 9/7/2012
B
Texas 9/7/2012
B
Louisiana 1/26/2022
IA
Texas 9/7/2012
B
Maine 6/2/2021
B
Utah 2/13/2024
B
Maryland 12/12/2024
B
Vermont 12/12/2024
B
Massachusetts 2/18/2016
B
Virginia 11/8/2019
B
Michigan 12/12/2024
B
Washington 4/25/2022
B
Minnesota 7/14/2016
B
Wisconsin 2/24/2023
B
Missouri 2/11/2021
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 9/7/2012
B
Registered with this firm since 9/7/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/21/2001 - 09/17/2012 | GEORGETOWN, TX | |
B | 11/21/2001 - 09/17/2012 | GEORGETOWN, TX | |
B | 10/01/1998 - 11/19/2001 | NEW YORK, NY |
GEORGETOWN, TX
11/21/2001 - 09/17/2012
GEORGETOWN, TX
11/21/2001 - 09/17/2012
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.