Individual Firm
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JASMINE LI YANG
LI YANG
CRD#: 2438879
IA
B
MORGAN STANLEYCRD#: 149777 245 Lytton Avenue
Suite 200
Palo Alto, CA 94301
Suite 200
Palo Alto, CA 94301
0
Disclosures
24
Years of Experience
View By:
State Registrations
B
California 6/1/2009
B
Nevada 5/4/2023
IA
California 6/1/2009
B
New York 9/9/2020
B
Colorado 12/17/2012
B
Texas 10/19/2023
B
Delaware 8/4/2020
IA
Texas 10/26/2023
B
Kansas 3/11/2021
B
Washington 1/20/2010
B
Massachusetts 7/14/2020
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 06/01/2009 | MENLO PARK, CA | |
B | 04/02/2007 - 06/01/2009 | MENLO PARK, CA | |
IA | 03/04/2003 - 04/02/2007 | MENLO PARK, CA | |
B | 02/24/2003 - 04/02/2007 | MENLO PARK, CA | |
B | 01/28/1994 - 09/16/1996 | SPRINGFIELD, MA | |
B | 01/28/1994 - 09/16/1996 | NEW YORK, NY |
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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.