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Detailed Report
STEVE LI TUNG
STEVEN LI TUNG
CRD#: 4689897
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1585 Broadway
21St Floor
New York, NY 10036
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2009 - Present (15 years)BMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2003 - 2009 (5 years)IAMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2005 - 2009 (3 years)
License(s)

State Registrations

B
Arizona 6/1/2009
B
New Hampshire 5/23/2017
B
California 6/1/2009
B
New Jersey 6/1/2009
B
Colorado 6/1/2009
B
New Mexico 6/1/2009
B
Connecticut 6/1/2009
B
New York 6/1/2009
IA
Connecticut 12/11/2017
IA
New York 6/16/2021
B
Delaware 6/1/2009
B
North Carolina 6/1/2009
B
District of Columbia 6/1/2009
B
Ohio 6/1/2009
B
Florida 6/1/2009
B
Oregon 9/6/2023
B
Georgia 11/5/2015
B
Pennsylvania 6/1/2009
B
Illinois 6/1/2009
B
Puerto Rico 10/12/2020
B
Indiana 6/1/2009
B
Rhode Island 5/8/2020
B
Kansas 3/15/2019
B
South Carolina 9/28/2017
B
Louisiana 6/1/2009
B
South Dakota 6/1/2009
B
Maine 1/21/2018
B
Tennessee 9/16/2021
B
Maryland 6/1/2009
B
Texas 6/1/2009
B
Massachusetts 6/1/2009
IA
Texas 6/1/2009
B
Michigan 6/1/2009
B
Utah 6/1/2009
B
Minnesota 12/21/2016
B
Vermont 10/1/2021
B
Missouri 6/1/2009
B
Virginia 6/1/2009
B
Montana 2/17/2022
B
Washington 6/1/2009
B
Nebraska 3/24/2023
B
Wyoming 1/27/2020
B
Nevada 11/6/2015

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)
1585 Broadway 21St Floor, New York, NY 10036
Fairfield, CT
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
1585 Broadway 21St Floor, New York, NY 10036
Fairfield, CT
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/14/2005 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) NEW YORK, NY
B
 10/21/2003 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) 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.