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Detailed Report
CHRISTINE L YU
CHEN-TING LIU, CHRISTINE LIU MISS, CHRISTINE LIU
CRD#: 4968603
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 55 South Lake Avenue Pasadena Towers - Tower II
Suite 700
Pasadena, CA 91101
Registration History
200620082010201220142016201820202022202420262 FIRMS2009 - Present (15 years)BMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2007 - 2009 (2 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2006 - 2007 (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2006 - 2006 (<1 year)IAMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2008 - 2009 (1 year)
License(s)

State Registrations

B
Arizona 2/13/2020
B
Minnesota 1/14/2023
B
California 6/1/2009
B
Missouri 1/14/2023
IA
California 6/1/2009
B
Nevada 12/22/2014
B
Colorado 7/6/2021
B
New Jersey 9/15/2021
B
Connecticut 2/23/2021
B
New York 4/10/2013
B
Delaware 9/28/2017
B
North Carolina 1/28/2021
B
Florida 4/10/2013
B
North Dakota 3/17/2020
B
Georgia 3/3/2021
B
Ohio 6/17/2022
B
Hawaii 3/4/2016
B
Oregon 9/15/2011
B
Illinois 2/4/2019
B
Texas 11/9/2021
B
Indiana 9/23/2022
IA
Texas 11/19/2021
B
Maryland 6/16/2022
B
Utah 2/1/2019
B
Massachusetts 1/2/2019
B
Virginia 9/15/2021
B
Michigan 1/3/2012
B
Washington 12/18/2019

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)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/15/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LOS ANGELES, CA
B
 06/18/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LOS ANGELES, CA
B
 06/07/2006 - 05/08/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PASADENA, CA
B
 01/10/2006 - 02/17/2006 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) 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.