Individual Firm
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LILY YURIKO MASUTANI
LILY YURIKO TAKATA
CRD#: 2206692
IA
B
MORGAN STANLEYCRD#: 149777 1999 Avenue Of The Stars
Suite 2400
Los Angeles, CA 90067
Suite 2400
Los Angeles, CA 90067
0
Disclosures
32
Years of Experience
View By:
State Registrations
B
Arizona 2/5/2024
B
Nevada 2/5/2024
B
California 2/5/2024
B
New Hampshire 2/5/2024
IA
California 2/6/2024
B
New York 2/5/2024
B
Colorado 3/13/2024
B
North Carolina 3/22/2024
B
Delaware 11/26/2024
B
Oregon 4/26/2024
B
Florida 2/5/2024
B
Texas 2/5/2024
B
Idaho 2/16/2024
IA
Texas 2/5/2024
B
Illinois 2/5/2024
B
Utah 2/5/2024
B
Missouri 2/19/2025
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 2/5/2024
B
Registered with this firm since 2/5/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/26/2007 - 02/07/2024 | LOS ANGELES, CA | |
B | 09/24/1993 - 02/07/2024 | LOS ANGELES, CA | |
IA | 06/26/2000 - 01/29/2005 | LOS ANGELES, CA | |
B | 02/18/1992 - 08/28/1992 |
LOS ANGELES, CA
02/26/2007 - 02/07/2024
LOS ANGELES, CA
09/24/1993 - 02/07/2024
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.