Individual Firm
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FRANK FEIPANG AUYEUNG
FRANK FEIPANG AU-YEUNG, FEIPANG AUYEUNG, FEIPENG OUYANG
CRD#: 2256932
IA
B
MORGAN STANLEYCRD#: 149777 20400 Stevens Creek Boulevard
Suite 350
Cupertino, CA 95014
Suite 350
Cupertino, CA 95014
View By:
2/16/2023
Customer Dispute
Pending
State Registrations
B
California 8/3/2012
B
New Mexico 7/2/2021
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California 8/3/2012
B
New York 8/3/2012
B
District of Columbia 1/16/2024
B
North Carolina 9/4/2024
B
Florida 1/6/2017
B
Ohio 12/7/2023
B
Georgia 11/3/2017
B
Pennsylvania 11/20/2020
B
Hawaii 1/5/2021
B
South Carolina 3/5/2024
B
Illinois 12/6/2017
B
South Dakota 1/18/2019
B
Maryland 10/28/2021
B
Texas 6/20/2016
B
Michigan 6/29/2021
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Texas 2/24/2020
B
Missouri 1/18/2018
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Virginia 7/16/2019
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Nevada 12/23/2013
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Washington 7/16/2019
B
New Hampshire 12/21/2017
B
Wisconsin 6/27/2023
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New Jersey 6/22/2016
SRO Registrations
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B
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Registered with this firm since 8/3/2012
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Registered with this firm since 8/3/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/03/2011 - 08/06/2012 | SAN JOSE, CA | |
B | 01/03/2011 - 08/06/2012 | SAN JOSE, CA | |
IA | 05/28/2004 - 01/03/2011 | CUPERTINO, CA | |
B | 05/28/2004 - 01/03/2011 | CUPERTINO, CA | |
IA | 05/12/1998 - 06/01/2004 | SAN JOSE, CA | |
B | 07/12/1999 - 06/01/2004 | BOSTON, MA | |
B | 06/05/1996 - 07/12/1999 | OAKLAND, CA | |
B | 06/11/1994 - 06/03/1996 | LONG ISLAND CITY, NY | |
B | 09/24/1992 - 06/06/1994 | HIGHLAND, UT |
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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.