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Detailed Report
PHONG TRANG
CRD#: 4943916
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 9665 Wilshire Boulevard
Suite 600
Beverly Hills, CA 90212
Registration History
200620082010201220142016201820202022202420262 FIRMS2007 - 2010 (3 years)2 FIRMS2010 - Present (14 years)BAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2005 - 2007 (1 year)
License(s)

State Registrations

B
Alaska 1/6/2022
B
Nevada 1/9/2012
B
Arizona 10/21/2010
B
New Jersey 1/9/2012
B
Arkansas 10/21/2010
B
New Mexico 10/21/2010
B
California 10/4/2010
B
New York 10/21/2010
IA
California 10/5/2010
B
North Carolina 1/17/2020
B
Colorado 10/21/2010
B
Ohio 10/21/2010
B
Connecticut 1/6/2022
B
Oregon 1/6/2016
B
District of Columbia 8/31/2023
B
Pennsylvania 10/21/2010
B
Florida 10/21/2010
B
South Carolina 10/21/2010
B
Georgia 1/10/2012
B
Texas 10/21/2010
B
Hawaii 10/21/2010
IA
Texas 3/11/2020
B
Illinois 2/10/2022
B
Vermont 9/8/2016
B
Indiana 5/19/2016
B
Virginia 1/11/2022
B
Maryland 10/21/2010
B
Washington 10/21/2010
B
Massachusetts 10/21/2010
B
Wisconsin 12/11/2013
B
Michigan 10/21/2010

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)
9665 Wilshire Boulevard Suite 600, Beverly Hills, CA 90212
Registered with this firm since 10/5/2010
B
MORGAN STANLEY (CRD#:149777)
9665 Wilshire Boulevard Suite 600, Beverly Hills, CA 90212
Registered with this firm since 10/4/2010
Previous Registration(s)
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IA
 06/29/2007 - 09/10/2010 COMERICA SECURITIES (CRD#:17079) LOS ANGELES, CA
B
 06/29/2007 - 09/10/2010 COMERICA SECURITIES (CRD#:17079) LOS ANGELES, CA
B
 10/14/2005 - 06/28/2007 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) GLENDALE, 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.