Individual Firm
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ESTHER C TENG
ESTER C TENG, ESTHER CHIEH MING TENG, ESTHER TENG
CRD#: 3191105
IA
B
MORGAN STANLEYCRD#: 149777 20400 Stevens Creek Boulevard
Suite 350
Cupertino, CA 95014
Suite 350
Cupertino, CA 95014
0
Disclosures
22
Years of Experience
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State Registrations
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Alabama 2/6/2018
B
Montana 2/6/2018
B
Alaska 2/6/2018
B
Nebraska 2/6/2018
B
Arizona 2/6/2018
B
Nevada 2/6/2018
B
Arkansas 2/6/2018
B
New Hampshire 2/6/2018
B
California 2/4/2011
B
New Jersey 2/6/2018
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California 2/4/2011
B
New Mexico 2/6/2018
B
Colorado 2/6/2018
B
New York 3/7/2016
B
Connecticut 1/3/2014
B
North Carolina 2/8/2018
B
Delaware 1/5/2018
B
North Dakota 2/6/2018
B
District of Columbia 2/6/2018
B
Ohio 2/7/2018
B
Florida 11/19/2013
B
Oklahoma 2/6/2018
B
Georgia 2/6/2018
B
Oregon 2/6/2018
B
Hawaii 3/7/2016
B
Pennsylvania 3/7/2016
B
Idaho 2/6/2018
B
Rhode Island 2/6/2018
B
Illinois 3/7/2016
B
South Carolina 2/6/2018
B
Indiana 2/6/2018
B
South Dakota 2/6/2018
B
Iowa 2/6/2018
B
Tennessee 11/19/2013
B
Kansas 2/6/2018
B
Texas 2/6/2018
B
Kentucky 2/6/2018
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Texas 2/24/2020
B
Louisiana 2/6/2018
B
Utah 2/6/2018
B
Maine 2/6/2018
B
Vermont 2/6/2018
B
Maryland 2/6/2018
B
Virginia 2/6/2018
B
Massachusetts 3/7/2016
B
Washington 2/6/2018
B
Michigan 2/6/2018
B
West Virginia 2/6/2018
B
Minnesota 2/6/2018
B
Wisconsin 2/6/2018
B
Mississippi 2/6/2018
B
Wyoming 2/6/2018
B
Missouri 2/6/2018
SRO Registrations
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B
B
B
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IA
Registered with this firm since 2/4/2011
B
Registered with this firm since 2/4/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/23/2010 - 01/25/2011 | SAN FRANCISCO, CA | |
B | 06/23/2010 - 01/25/2011 | SAN FRANCISCO, CA | |
IA | 03/17/2010 - 06/24/2010 | SAN JOSE, CA | |
B | 02/19/2010 - 06/24/2010 | SAN JOSE, CA | |
IA | 11/16/2007 - 03/24/2008 | SAN MATEO, CA | |
B | 11/16/2007 - 03/24/2008 | SAN MATEO, CA | |
IA | 12/13/2004 - 02/15/2007 | REDWOOD, CA | |
B | 11/16/1999 - 02/15/2007 | REDWOOD, CA |
SAN JOSE, CA
03/17/2010 - 06/24/2010
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.