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Detailed Report
Wayne Cheng Chou
WAYNE CHOU, WEN CHENG CHOU
CRD#: 2803564
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 55 South Lake Avenue Pasadena Towers - Tower II
Suite 700
Pasadena, CA 91101
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2015 - 2015 (<1 year)2 FIRMS2015 - 2016 (<1 year)2 FIRMS2016 - Present (8 years)BSCOTTRADE, INC. (CRD# 8206)2006 - 2015 (8 years)BTD WATERHOUSE INVESTOR SERVICE... (CRD# 7870)2001 - 2006 (4 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1997 - 2001 (4 years)BJ.B. OXFORD & COMPANY (CRD# 14343)1996 - 1997 (<1 year)IATD WATERHOUSE INVESTOR SERVICE... (CRD# 7870)2003 - 2006 (2 years)
License(s)

State Registrations

B
Alabama 4/29/2022
B
Nebraska 2/20/2019
B
Alaska 4/29/2022
B
Nevada 2/20/2019
B
Arizona 5/11/2022
B
New Hampshire 5/25/2022
B
Arkansas 2/20/2019
B
New Jersey 5/25/2022
B
California 11/3/2016
B
New Mexico 2/20/2019
IA
California 11/3/2016
B
New York 5/25/2022
B
Colorado 2/27/2020
B
North Carolina 2/20/2019
B
Connecticut 5/11/2022
B
North Dakota 2/20/2019
B
Delaware 5/11/2022
B
Ohio 5/27/2022
B
District of Columbia 5/11/2022
B
Oklahoma 5/25/2022
B
Florida 2/20/2019
B
Oregon 11/4/2016
B
Georgia 2/20/2019
B
Pennsylvania 5/25/2022
B
Hawaii 10/7/2021
B
Puerto Rico 2/20/2019
B
Idaho 5/25/2022
B
Rhode Island 2/20/2019
B
Illinois 11/4/2016
B
South Carolina 2/20/2019
B
Indiana 2/20/2019
B
South Dakota 2/20/2019
B
Iowa 5/25/2022
B
Tennessee 11/4/2016
B
Kansas 5/25/2022
B
Texas 5/25/2017
B
Kentucky 5/25/2022
IA
Texas 3/11/2020
B
Louisiana 2/27/2020
B
Utah 2/20/2019
B
Maine 5/25/2022
B
Vermont 5/25/2022
B
Maryland 5/25/2022
B
Virgin Islands 5/25/2022
B
Massachusetts 3/11/2019
B
Virginia 5/25/2022
B
Michigan 5/25/2022
B
Washington 2/20/2019
B
Minnesota 2/20/2019
B
West Virginia 5/25/2022
B
Mississippi 2/20/2019
B
Wisconsin 2/20/2019
B
Missouri 4/29/2022
B
Wyoming 5/25/2022
B
Montana 2/27/2020

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

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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
Diamond Bar, CA
Registered with this firm since 11/3/2016
B
MORGAN STANLEY (CRD#:149777)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Diamond Bar, CA
Registered with this firm since 11/3/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/02/2015 - 07/11/2016 HSBC SECURITIES (USA) INC. (CRD#:19585) WALNUT, CA
B
 12/02/2015 - 07/11/2016 HSBC SECURITIES (USA) INC. (CRD#:19585) WALNUT, CA
IA
 03/24/2015 - 10/14/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) RANCHO CUCAMONGA, CA
B
 03/11/2015 - 10/14/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) RANCHO CUCAMONGA, CA
B
 04/18/2006 - 03/03/2015 SCOTTRADE, INC. (CRD#:8206) ROWLAND HEIGHTS, CA
IA
 07/30/2003 - 02/01/2006 TD WATERHOUSE INVESTOR SERVICES, INC. (CRD#:7870) MONTEREY PARK, CA
B
 07/11/2001 - 02/01/2006 TD WATERHOUSE INVESTOR SERVICES, INC. (CRD#:7870) MONTEREY PARK, CA
B
 06/12/1997 - 08/01/2001 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
B
 10/10/1996 - 04/09/1997 J.B. OXFORD & COMPANY (CRD#:14343) SHERMAN OAKS, CA
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.