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Detailed Report
MARIA GIOVANNA LUPU
CRD#: 4200857
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 100 Wilshire Boulevard
Suite 1900
Santa Monica, CA 90401
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2001 - 2003 (2 years)2 FIRMS2003 - 2008 (4 years)2 FIRMS2008 - 2008 (<1 year)2 FIRMS2008 - 2023 (14 years)2 FIRMS2023 - Present (1 year)BWELLS FARGO SECURITIES INC. (CRD# 17438)2000 - 2001 (<1 year)
License(s)

State Registrations

B
Alabama 8/23/2023
B
Nevada 5/26/2023
B
Arizona 5/26/2023
B
New Jersey 5/26/2023
B
California 5/26/2023
B
New York 5/26/2023
IA
California 5/31/2023
B
North Carolina 5/26/2023
B
Colorado 5/26/2023
B
Oklahoma 5/26/2023
B
Connecticut 5/26/2023
B
Oregon 5/26/2023
B
Florida 5/26/2023
B
Tennessee 5/26/2023
B
Hawaii 5/26/2023
B
Texas 5/26/2023
B
Illinois 5/26/2023
IA
Texas 5/26/2023
B
Massachusetts 5/26/2023
B
Washington 5/26/2023

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)
100 Wilshire Boulevard Suite 1900, Santa Monica, CA 90401
Registered with this firm since 5/26/2023
B
MORGAN STANLEY (CRD#:149777)
100 Wilshire Boulevard Suite 1900, Santa Monica, CA 90401
Registered with this firm since 5/26/2023
Previous Registration(s)
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IA
 09/16/2008 - 06/07/2023 RBC CAPITAL MARKETS, LLC (CRD#:31194) BEVERLY HILLS, CA
B
 09/12/2008 - 06/07/2023 RBC CAPITAL MARKETS, LLC (CRD#:31194) BEVERLY HILLS, CA
IA
 01/01/2008 - 09/16/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) BEVERLY HILLS, CA
B
 01/01/2008 - 09/16/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) BEVERLY HILLS, CA
B
 07/03/2003 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) BEVERLY HILLS, CA
IA
 07/03/2003 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) BEVERLY HILLS, CA
IA
 05/15/2001 - 07/22/2003 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) LOS ANGELES, CA
B
 05/02/2001 - 07/22/2003 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
B
 09/26/2000 - 05/02/2001 WELLS FARGO SECURITIES INC. (CRD#:17438) SAN FRANCISCO, 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.