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Detailed Report
PETER YAO
YING YAO
CRD#: 4751615
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2004200520062007200820092010201120122013201420152016IAMORGAN STANLEY (CRD# 149777)2009 - 2013 (3 years)IAMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2007 - 2009 (1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2004 - 2007 (3 years)
Disclosure(s)
View By:
1/20/2015
Regulatory
Final
7/21/2014
Customer Dispute
Award / Judgment
4/25/2014
Regulatory
Final
Previous Registration(s)
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 06/01/2009 - 03/15/2013 MORGAN STANLEY (CRD#:149777) SEATTLE, WA
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 12/12/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SEATTLE, WA
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 06/28/2004 - 10/29/2007 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SEATTLE, WA
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.
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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.