Charles Leo Dougherty

CRD 710916 · Morgan Stanley · Fort Lauderdale, FL

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 65Series 63SIESeries 7
Registered states (48): Alabama · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 46
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 710916 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Morgan Stanley
Firm CRD: 149777
SEC number: 801-70103
Assets under management: $2.0T as of Jun 30, 2026
Website: www.morganstanley.com ↗
Phone: 914-225-5510
Firm location: Purchase, NY, 10577-2530

Employment history (9)

From the source registration record · current first

Morgan StanleyCurrent
Fort Lauderdale, FL · IA capacity

Jun 1, 2009 → present
Citigroup Global Markets Inc.
IA capacity

May 11, 2009 → Jun 1, 2009
Citigroup Global Markets Inc.
BD capacity

Apr 24, 2009 → Jun 1, 2009
Wachovia Securities, LLC
BD capacity

Jul 1, 2003 → Apr 27, 2009
Wachovia Securities, LLC
IA capacity

Jul 1, 2003 → Apr 27, 2009
Prudential Securities Incorporated
IA capacity

Jan 3, 1997 → Jul 1, 2003
Prudential Securities Incorporated
BD capacity

Sep 15, 1989 → Jul 1, 2003
Thomson Mckinnon Securities Inc.
BD capacity

Oct 27, 1980 → Sep 15, 1989
J. P. Holdahl & Assoc., Inc.
BD capacity

Jul 1, 1980 → Jul 21, 1981

Source & corrections

Where this page comes from

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