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Detailed Report
SANH TUAN VUONG
CRD#: 2907481
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 216 Lorton Avenue
Suite 200
Burlingame, CA 94010
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2002 - 2004 (1 year)2 FIRMS2004 - 2006 (1 year)2 FIRMS2006 - 2006 (<1 year)2 FIRMS2006 - 2007 (<1 year)2 FIRMS2007 - 2021 (14 years)2 FIRMS2021 - Present (3 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1999 - 2002 (3 years)BD.A. DAVIDSON & CO. (CRD# 199)1998 - 1999 (1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1997 - 1998 (<1 year)
Disclosure(s)
View By:
3/11/2015
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 9/14/2022
B
Nebraska 9/14/2022
B
Alaska 11/29/2021
B
Nevada 11/12/2021
B
Arizona 11/12/2021
B
New Hampshire 9/14/2022
B
Arkansas 9/14/2022
B
New Jersey 9/14/2022
B
California 11/12/2021
B
New Mexico 9/14/2022
IA
California 11/12/2021
B
New York 11/12/2021
B
Colorado 11/12/2021
B
North Carolina 9/14/2022
B
Connecticut 9/14/2022
B
North Dakota 9/14/2022
B
Delaware 7/22/2022
B
Ohio 11/12/2021
B
District of Columbia 9/14/2022
B
Oklahoma 9/14/2022
B
Florida 11/12/2021
B
Oregon 12/14/2021
B
Georgia 11/12/2021
B
Pennsylvania 11/12/2021
B
Hawaii 11/12/2021
B
Puerto Rico 9/14/2022
B
Idaho 11/12/2021
B
Rhode Island 9/14/2022
B
Illinois 11/16/2021
B
South Carolina 9/14/2022
B
Indiana 11/12/2021
B
South Dakota 9/14/2022
B
Iowa 9/14/2022
B
Tennessee 11/12/2021
B
Kansas 9/14/2022
B
Texas 11/12/2021
B
Kentucky 9/14/2022
IA
Texas 11/12/2021
B
Louisiana 9/14/2022
B
Utah 9/14/2022
B
Maine 9/14/2022
B
Vermont 9/14/2022
B
Maryland 9/14/2022
B
Virgin Islands 9/14/2022
B
Massachusetts 11/12/2021
B
Virginia 11/12/2021
B
Michigan 11/12/2021
B
Washington 11/12/2021
B
Minnesota 9/14/2022
B
West Virginia 9/14/2022
B
Mississippi 9/14/2022
B
Wisconsin 9/14/2022
B
Missouri 11/12/2021
B
Wyoming 9/14/2022
B
Montana 9/14/2022

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)
216 Lorton Avenue Suite 200, Burlingame, CA 94010
Millbrae, CA
Registered with this firm since 11/12/2021
B
MORGAN STANLEY (CRD#:149777)
216 Lorton Avenue Suite 200, Burlingame, CA 94010
Millbrae, CA
Registered with this firm since 11/12/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/29/2007 - 11/15/2021 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MILLBRAE, CA
B
 05/29/2007 - 11/15/2021 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MILLBRAE, CA
IA
 09/11/2006 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) SAN FRANCISCO, CA
B
 09/11/2006 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) SAN FRANCISCO, CA
IA
 04/17/2006 - 10/04/2006 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) SAN FRANCISCO, CA
B
 04/17/2006 - 10/04/2006 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN FRANCISCO, CA
IA
 03/17/2004 - 02/01/2006 TD WATERHOUSE INVESTOR SERVICES, INC. (CRD#:7870) SAN FRANCISCO, CA
B
 03/17/2004 - 02/01/2006 TD WATERHOUSE INVESTOR SERVICES, INC. (CRD#:7870) SAN FRANCISCO, CA
IA
 08/01/2002 - 01/26/2004 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) PALO ALTO, CA
B
 08/01/2002 - 01/26/2004 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
B
 05/17/1999 - 08/15/2002 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
B
 04/02/1998 - 05/03/1999 D.A. DAVIDSON & CO. (CRD#:199) GREAT FALLS, MT
B
 09/09/1997 - 02/18/1998 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
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.