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Detailed Report
HSIN-YUIN S HORNG
HSIN-YUIN SERENE HORNG, SERENE HSIN-YUIN HORNG, SERENE HORNG, Hsin-YuinSerene Horng
CRD#: 4222041
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 55 South Lake Avenue Pasadena Towers - Tower II
Suite 700
Pasadena, CA 91101
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2016 (12 years)2 FIRMS2016 - 2020 (4 years)2 FIRMS2024 - Present (1 year)
License(s)

State Registrations

B
Alaska 3/7/2024
B
New Jersey 3/7/2024
B
Arizona 3/19/2024
B
New York 3/7/2024
B
California 3/7/2024
B
Ohio 3/8/2024
IA
California 3/12/2024
B
Oregon 3/9/2024
B
Colorado 3/8/2024
B
Pennsylvania 3/8/2024
B
Delaware 3/20/2024
B
South Carolina 3/7/2024
B
District of Columbia 3/8/2024
B
South Dakota 3/7/2024
B
Florida 3/7/2024
B
Texas 3/7/2024
B
Hawaii 3/12/2024
IA
Texas 3/7/2024
B
Illinois 3/18/2024
B
Utah 3/7/2024
B
Maryland 3/7/2024
B
Virgin Islands 3/8/2024
B
Massachusetts 3/7/2024
B
Washington 3/7/2024
B
Nevada 3/8/2024
B
Wyoming 3/7/2024

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 3/7/2024
B
MORGAN STANLEY (CRD#:149777)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Registered with this firm since 3/7/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/03/2016 - 07/23/2020 UBS FINANCIAL SERVICES INC. (CRD#:8174) Pasadena, CA
B
 03/03/2016 - 07/23/2020 UBS FINANCIAL SERVICES INC. (CRD#:8174) Pasadena, CA
IA
 04/23/2004 - 03/02/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 03/02/2004 - 03/02/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) 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.