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Detailed Report
CECIL YAN SEE HO
CRD#: 3093569
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 55 South Lake Avenue Pasadena Towers - Tower II
Suite 700
Pasadena, CA 91101
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1998 - 2009 (10 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1999 - 2009 (10 years)
Disclosure(s)
View By:
9/24/2001
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 1/23/2015
B
Minnesota 5/2/2023
B
Arizona 6/1/2009
B
Mississippi 1/13/2022
B
California 6/1/2009
B
Nevada 6/1/2009
IA
California 6/1/2009
B
New Jersey 3/24/2016
B
Colorado 6/1/2009
B
New York 3/28/2014
B
Delaware 3/10/2017
B
North Carolina 8/14/2015
B
Florida 3/24/2016
B
Ohio 11/17/2009
B
Hawaii 3/24/2016
B
Oregon 6/1/2009
B
Idaho 3/24/2016
B
Pennsylvania 8/30/2019
B
Illinois 1/19/2017
B
South Carolina 2/19/2019
B
Indiana 6/1/2009
B
Tennessee 7/27/2022
B
Kansas 11/29/2016
B
Texas 6/1/2009
B
Kentucky 7/17/2017
IA
Texas 2/12/2014
B
Maine 8/14/2015
B
Utah 5/2/2023
B
Maryland 11/16/2017
B
Virginia 7/25/2018
B
Massachusetts 6/1/2009
B
Washington 6/1/2009
B
Michigan 11/20/2019

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 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/11/1999 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PASADENA, CA
B
 09/17/1998 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) 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.