Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
WAI KEE CHAN
WAI K CHAN, WAI KEE CHAN, WAIKEE CHAN
CRD#: 3089150
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 733 Bishop Street
Suite 2800
Honolulu, HI 96813
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2004 - 2005 (1 year)2 FIRMS2006 - 2013 (7 years)2 FIRMS2013 - Present (11 years)BDEUTSCHE BANK SECURITIES INC. (CRD# 2525)2003 - 2004 (<1 year)BSCUDDER INVESTOR SERVICES, INC. (CRD# 754)2002 - 2003 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1998 - 2002 (3 years)IAMORGAN STANLEY (CRD# 149777)2013 - 2013 (<1 year)IADEUTSCHE INVESTMENT MANAGEMENT... (CRD# 104518)2002 - 2004 (1 year)
Disclosure(s)
View By:
6/1/2009
Customer Dispute
Settled
4/2/2009
Customer Dispute
Settled
10/13/2008
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 7/9/2024
B
New Mexico 2/22/2017
B
California 5/31/2013
B
New York 1/9/2015
B
Colorado 5/22/2014
B
Oklahoma 5/6/2024
B
District of Columbia 5/17/2018
B
Oregon 3/3/2017
B
Florida 5/17/2021
B
Pennsylvania 5/3/2024
B
Hawaii 7/30/2013
B
South Carolina 4/15/2016
IA
Hawaii 7/30/2013
B
Texas 6/19/2019
B
Idaho 3/25/2019
IA
Texas 2/24/2020
B
Maine 9/9/2016
B
Washington 5/31/2013
B
Missouri 1/7/2015
B
Wyoming 4/18/2023
B
Nevada 1/21/2015

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)
733 Bishop Street Suite 2800, Honolulu, HI 96813
Registered with this firm since 7/30/2013
B
MORGAN STANLEY (CRD#:149777)
733 Bishop Street Suite 2800, Honolulu, HI 96813
Registered with this firm since 5/31/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/23/2006 - 06/10/2013 CHARLES SCHWAB & CO., INC. (CRD#:5393) HONOLULU, HI
B
 01/23/2006 - 06/10/2013 CHARLES SCHWAB & CO., INC. (CRD#:5393) HONOLULU, HI
IA
 05/31/2013 - 06/03/2013 MORGAN STANLEY (CRD#:149777) PURCHASE, NY
IA
 03/22/2004 - 10/04/2005 HOEFER & ARNETT CAPITAL MANAGEMENT, INC. (CRD#:110561) SAN FRANCISCO, CA
B
 03/22/2004 - 10/04/2005 HOEFER & ARNETT, INCORPORATED (CRD#:10883) SAN FRANCISCO, CA
IA
 09/23/2002 - 04/12/2004 DEUTSCHE INVESTMENT MANAGEMENT AMERICAS INC. (CRD#:104518) SAN FRANCISCO, CA
B
 10/21/2003 - 03/25/2004 DEUTSCHE BANK SECURITIES INC. (CRD#:2525) NEW YORK, NY
B
 09/23/2002 - 10/21/2003 SCUDDER INVESTOR SERVICES, INC. (CRD#:754) NEW YORK, NY
B
 10/14/1998 - 03/20/2002 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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.