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Detailed Report
HOWARD K WEN
HOWARD WEN
CRD#: 2833693
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 55 South Lake Avenue Pasadena Towers - Tower II
Suite 700
Pasadena, CA 91101
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1998 - 2016 (18 years)2 FIRMS2016 - Present (9 years)
Disclosure(s)
View By:
4/10/2016
Customer Dispute
Settled
3/31/2016
Employment Separation After Allegations
3/28/2006
Customer Dispute
Denied
12/1/2004
Customer Dispute
Denied
6/25/2002
Customer Dispute
Award / Judgment
5/17/2001
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 2/10/2022
B
Minnesota 11/15/2019
B
California 3/31/2016
B
Nevada 5/23/2019
IA
California 4/1/2016
B
New Jersey 5/6/2019
B
Delaware 9/12/2017
B
New York 4/12/2019
B
Florida 3/31/2016
B
North Carolina 3/8/2019
B
Hawaii 11/18/2020
B
Pennsylvania 9/18/2020
B
Illinois 6/27/2017
B
Texas 9/22/2021
B
Indiana 6/30/2021
IA
Texas 10/1/2021
B
Maryland 12/5/2019
B
Virgin Islands 11/30/2020
B
Massachusetts 7/8/2021
B
Washington 4/12/2016

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
Registered with this firm since 4/1/2016
B
MORGAN STANLEY (CRD#:149777)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Registered with this firm since 3/31/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/11/1998 - 04/01/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 03/30/1998 - 04/01/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, 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.