Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Wen SHAN Wu
CRD#: 4507512
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 2775 Sand Hill Road
Suite 120
Menlo Park, CA 94025
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2003 (1 year)2 FIRMS2007 - 2008 (<1 year)2 FIRMS2008 - 2023 (15 years)2 FIRMS2023 - Present (2 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)2004 - 2007 (3 years)IACITICORP INVESTMENT SERVICES (CRD# 23988)2006 - 2007 (<1 year)
License(s)

State Registrations

B
California 2/24/2023
B
New York 3/17/2025
IA
California 2/24/2023
B
North Carolina 3/27/2023
B
Connecticut 2/21/2025
B
Oregon 2/24/2023
B
Florida 5/11/2023
B
Washington 2/24/2023
B
Massachusetts 5/23/2024

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)
2775 Sand Hill Road Suite 120, Menlo Park, CA 94025
Registered with this firm since 2/24/2023
B
MORGAN STANLEY (CRD#:149777)
2775 Sand Hill Road Suite 120, Menlo Park, CA 94025
Registered with this firm since 2/24/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/04/2008 - 02/28/2023 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN MATEO, CA
B
 01/04/2008 - 02/28/2023 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN MATEO, CA
IA
 05/29/2007 - 01/24/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MILLBRAE, CA
B
 05/29/2007 - 01/24/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MILLBRAE, CA
IA
 11/13/2006 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) MILLBRAE, CA
B
 03/12/2004 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) MILLBRAE, CA
IA
 04/29/2002 - 05/08/2003 AXA ADVISORS, LLC (CRD#:6627) SAN FRANCISCO, CA
B
 04/12/2002 - 05/08/2003 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, 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.