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Detailed Report
Kin Wing Lau
KEN LAU
CRD#: 1926583
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 2775 Sand Hill Road
Suite 120
Menlo Park, CA 94025
Registration History
199019952000200520102015202020252 FIRMS2020 - Present (5 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1999 - 2002 (3 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)1993 - 1999 (6 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1989 - 1993 (4 years)
License(s)

State Registrations

B
California 1/16/2020
B
North Carolina 3/25/2021
IA
California 1/16/2020
B
Washington 8/31/2020
B
New York 7/20/2021
IA
Washington 6/30/2021

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)
2775 Sand Hill Road Suite 120, Menlo Park, CA 94025
Registered with this firm since 1/16/2020
B
MORGAN STANLEY (CRD#:149777)
2775 Sand Hill Road Suite 120, Menlo Park, CA 94025
Registered with this firm since 1/16/2020
Previous Registration(s)
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B
 06/11/1999 - 10/18/2002 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 04/01/1993 - 06/04/1999 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 02/28/1989 - 04/20/1993 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.