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Detailed Report
HAN MING LIN
HAN MING LIN, HAN LIN, HAN MING MING LIN
CRD#: 1978069
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 55 South Lake Avenue Pasadena Towers - Tower II
Suite 700
Pasadena, CA 91101
Registration History
199019952000200520102015202020252 FIRMS2016 - Present (8 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1999 - 2016 (17 years)BU. S. PACIFIC FINANCIAL SERVIC... (CRD# 17423)1993 - 1999 (5 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1994 - 1994 (<1 year)BCONCORDE BROKERAGE CORP. (CRD# 17814)1989 - 1989 (<1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1998 - 2016 (17 years)
License(s)

State Registrations

B
Arizona 7/19/2018
B
New York 8/29/2016
B
California 8/18/2016
B
Oregon 7/17/2018
IA
California 8/18/2016
B
Pennsylvania 8/26/2022
B
Delaware 12/5/2018
B
Tennessee 8/24/2016
B
Hawaii 3/21/2022
B
Texas 12/22/2023
IA
Hawaii 2/14/2025
IA
Texas 1/10/2024
B
Minnesota 1/15/2020
B
Washington 7/18/2018

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
Captain Cook, HI
Registered with this firm since 8/18/2016
B
MORGAN STANLEY (CRD#:149777)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Captain Cook, HI
Registered with this firm since 8/18/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/16/1998 - 08/23/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 01/19/1999 - 08/23/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 07/19/1993 - 02/09/1999 U. S. PACIFIC FINANCIAL SERVICES, INC. (CRD#:17423) ALHAMBRA, CA
B
 09/16/1994 - 10/07/1994 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 08/22/1989 - 10/04/1989 CONCORDE BROKERAGE CORP. (CRD#:17814) 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.