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Detailed Report
BENJAMIN H WOO
CRD#: 3239443
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 555 California Street
35Th Floor
San Francisco, CA 94104
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2010 - Present (14 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2001 - 2010 (8 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1999 - 2001 (1 year)BCITICORP INVESTMENT SERVICES (CRD# 23988)1999 - 1999 (<1 year)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2002 - 2010 (8 years)
License(s)

State Registrations

B
Arizona 8/22/2019
B
Nevada 12/22/2020
B
California 7/2/2010
B
New York 7/2/2010
IA
California 7/6/2010
B
Oregon 7/2/2010
B
Colorado 12/18/2018
B
Pennsylvania 10/22/2024
B
District of Columbia 1/8/2015
IA
Texas 8/7/2010
B
Hawaii 2/22/2021
B
Utah 1/3/2012
B
Illinois 1/3/2019
B
Virginia 11/4/2024
B
Massachusetts 5/8/2015
B
Washington 7/2/2010
B
Michigan 11/10/2010

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)
555 California Street 35Th Floor, San Francisco, CA 94104
Registered with this firm since 7/6/2010
B
MORGAN STANLEY (CRD#:149777)
555 California Street 35Th Floor, San Francisco, CA 94104
Registered with this firm since 7/2/2010
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/14/2002 - 07/19/2010 CHARLES SCHWAB & CO., INC. (CRD#:5393) SAN FRANCISCO, CA
B
 12/20/2001 - 07/19/2010 CHARLES SCHWAB & CO., INC. (CRD#:5393) SAN FRANCISCO, CA
B
 12/22/1999 - 11/27/2001 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 06/18/1999 - 12/22/1999 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, 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.