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Detailed Report
SAMANTHA E LUI
SAMANTHA ELAINE LUI, SAMANTHA LUI, SAMANTHA ELAINE MILLER
CRD#: 4560661
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 Chicago, IL
Registration History
20082010201220142016201820202022202420262 FIRMS2009 - 2011 (1 year)2 FIRMS2012 - Present (12 years)BJ.P. MORGAN SECURITIES INC. (CRD# 79)2008 - 2009 (<1 year)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2007 - 2008 (1 year)IAJ.P.MORGAN SECURITIES INC. (CRD# 79)2009 - 2009 (<1 year)
License(s)

State Registrations

B
Illinois 7/12/2012
IA
New York 6/16/2021
IA
Illinois 7/12/2012
B
New York 12/18/2023

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)
Chicago, IL
Registered with this firm since 7/12/2012
B
MORGAN STANLEY (CRD#:149777)
Chicago, IL
Registered with this firm since 7/12/2012
Previous Registration(s)
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IA
 03/20/2009 - 02/28/2011 WAYNE HUMMER INVESTMENTS L.L.C. (CRD#:875) CHICAGO, IL
B
 03/20/2009 - 02/28/2011 WAYNE HUMMER INVESTMENTS L.L.C. (CRD#:875) CHICAGO, IL
IA
 01/07/2009 - 03/24/2009 J.P.MORGAN SECURITIES INC. (CRD#:79) CHICAGO, IL
B
 10/09/2008 - 03/24/2009 J.P. MORGAN SECURITIES INC. (CRD#:79) CHICAGO, IL
B
 05/09/2007 - 09/23/2008 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CHICAGO, IL
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.