Individual Firm
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LILY CAI
CRD#: 4058433
IA
B
MORGAN STANLEYCRD#: 149777 55 South Lake Avenue Pasadena Towers - Tower II
Suite 700
Pasadena, CA 91101
Suite 700
Pasadena, CA 91101
0
Disclosures
25
Years of Experience
View By:
State Registrations
B
Alaska 7/23/2024
B
Missouri 2/5/2025
B
Arizona 8/26/2015
B
Nevada 9/2/2021
B
California 6/1/2009
B
New Jersey 6/1/2009
IA
California 6/1/2009
B
New York 6/1/2009
B
Florida 4/18/2017
B
North Carolina 7/31/2024
B
Georgia 3/28/2023
B
Oregon 6/1/2009
B
Hawaii 5/16/2022
B
Texas 3/23/2017
B
Indiana 8/7/2024
IA
Texas 7/17/2018
B
Massachusetts 6/1/2009
B
Washington 7/2/2014
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/27/2007 - 06/01/2009 | PASADENA, CA | |
B | 07/27/2007 - 06/01/2009 | PASADENA, CA | |
IA | 09/19/2003 - 08/01/2007 | ARCADIA, CA | |
B | 09/19/2003 - 08/01/2007 | ARCADIA, CA | |
B | 08/07/2002 - 09/30/2003 | IRVINE, CA | |
IA | 02/17/2000 - 06/04/2002 | BEVERLY HILLS, CA | |
B | 12/09/1999 - 06/04/2002 | NEW YORK, NY |
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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.