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Detailed Report
BRIAN DEAN WONG
CRD#: 1819201
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 55 South Lake Avenue Pasadena Towers - Tower II
Suite 700
Pasadena, CA 91101
Registration History
199019952000200520102015202020252 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1996 - 2008 (11 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1992 - 1996 (3 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1990 - 1992 (2 years)BLINSCO/PRIVATE LEDGER CORP. (CRD# 6413)1988 - 1990 (2 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1997 - 2008 (10 years)
License(s)

State Registrations

B
Arizona 6/1/2009
B
New York 1/5/2017
B
California 6/1/2009
B
North Carolina 2/8/2023
IA
California 6/1/2009
B
Ohio 7/24/2020
B
Colorado 1/5/2021
B
South Carolina 7/19/2024
B
Florida 6/1/2009
B
Tennessee 5/5/2023
B
Idaho 5/18/2017
B
Texas 11/28/2017
B
Minnesota 12/16/2024
IA
Texas 3/11/2020
B
Nevada 3/17/2015
B
Washington 7/10/2015

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)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/17/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) GLENDALE, CA
B
 03/14/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) GLENDALE, CA
IA
 07/08/1997 - 04/03/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LOS ANGELES, CA
B
 06/10/1996 - 04/03/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LOS ANGELES, CA
B
 12/14/1992 - 06/14/1996 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 04/03/1990 - 12/16/1992 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
 04/20/1988 - 04/02/1990 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) FORT MILL, SC
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.