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Charles W Cummings

Morgan Stanley

Lexington, KY

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-05-31
KY RA APPROVED 2023-04-27
  • TX RA
    APPROVED
    Since 2023-05-31
  • KY RA
    APPROVED
    Since 2023-04-27

Branch Locations

444 East Main Street Suite 111, Lexington, KY 40507 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Lexington KY 01/2023 Present
Morgan Stanley Lexington KY 01/2022 Present
Houchens Insurance Group Lexington KY 01/2020 01/2022
Donatos Pizza Bowling Green KY 06/2016 08/2019
Student Lexington KY 09/2019 01/2020
Morgan Stanley Private Bank, N.A New York NY 02/2026 Present
  • 01/2023 → Present
    Morgan Stanley
    Lexington, KY
  • 01/2022 → Present
    Morgan Stanley
    Lexington, KY
  • 01/2020 → 01/2022
    Houchens Insurance Group
    Lexington, KY
  • 06/2016 → 08/2019
    Donatos Pizza
    Bowling Green, KY
  • 09/2019 → 01/2020
    Student
    Lexington, KY
  • 02/2026 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-04-27
  • S66 Uniform Combined State Law Examination
    2023-04-27

View on SEC IAPD

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LPL ENTERPRISE, LLC
ASIO CAPITAL LLC

Other Investors

MICHAEL JAMES BROWNELL
JASON CHRISTOPHER GRESHAM
JAMES CARL GRAY
MARC ALLEN MOORE
AARON WILLIAM SEYFRIED
CARL LEE JINRIGHT
GEORGE DAVID PIERCE
JAMES MICHAEL THOMPSON

Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · LEXINGTON, KY
WEALTH MANAGEMENT OF THE BLUEGRASS, LLC. · LEXINGTON, KY
LPL FINANCIAL LLC · LEXINGTON, KY
CETERA INVESTMENT ADVISERS LLC · LEXINGTON, KY
INVEST INC. · LEXINGTON, KY
EAGLE STRATEGIES LLC · LEXINGTON, KY
LPL ENTERPRISE, LLC · LEXINGTON, KY
LPL FINANCIAL LLC · LEXINGTON, KY

More in Lexington, KY

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