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Detailed Report
LEANDRO PING CHEN TSAI
LEANDRO TSAI, LEO PING CHEN TSAI
CRD#: 4913932
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1901 Main Street
Suite 700
Irvine, CA 92614
Registration History
200620082010201220142016201820202022202420262 FIRMS2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2006 - 2009 (3 years)BWM FINANCIAL SERVICES, INC. (CRD# 599)2005 - 2006 (<1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2007 - 2009 (2 years)
License(s)

State Registrations

B
Arizona 9/6/2011
B
Montana 12/8/2023
B
California 6/1/2009
B
Nevada 9/6/2011
IA
California 6/1/2009
B
New Jersey 12/8/2023
B
Colorado 9/6/2011
B
New Mexico 9/6/2011
B
Connecticut 9/6/2011
B
New York 9/6/2011
B
Delaware 12/8/2023
B
North Carolina 9/7/2011
B
District of Columbia 12/8/2023
B
Ohio 9/7/2011
B
Florida 9/6/2011
B
Oregon 9/6/2011
B
Georgia 7/15/2022
B
Pennsylvania 9/6/2011
B
Hawaii 5/12/2016
B
South Carolina 9/6/2011
B
Idaho 9/6/2011
B
Tennessee 9/6/2011
B
Illinois 9/6/2011
B
Texas 9/6/2011
B
Indiana 12/8/2023
IA
Texas 2/12/2014
B
Kansas 4/8/2013
B
Utah 4/6/2018
B
Maryland 9/6/2011
B
Vermont 9/6/2011
B
Massachusetts 10/24/2018
B
Virginia 10/31/2016
B
Michigan 9/6/2011
B
Washington 9/6/2011
B
Minnesota 7/5/2023
B
Wisconsin 9/6/2011
B
Missouri 10/10/2014
B
Wyoming 9/6/2011

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)
1901 Main Street Suite 700, Irvine, CA 92614
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
1901 Main Street Suite 700, Irvine, CA 92614
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/29/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) IRVINE, CA
B
 05/11/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) IRVINE, CA
B
 04/14/2005 - 03/27/2006 WM FINANCIAL SERVICES, INC. (CRD#:599) IRVINE, 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.