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Detailed Report
IVAN CHAN
IVAN H CHAN
CRD#: 5112658
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 2775 Sand Hill Road
Suite 120
Menlo Park, CA 94025
Registration History
200620082010201220142016201820202022202420262 FIRMS2020 - Present (4 years)BSANCTUARY SECURITIES LLC (CRD# 144091)2012 - 2012 (<1 year)BHIGHTOWER SECURITIES, LLC (CRD# 116681)2010 - 2011 (1 year)BPURSHE KAPLAN STERLING INVESTMENTS (CRD# 35747)2009 - 2010 (<1 year)BMORGAN STANLEY SMITH BARNEY (CRD# 149777)2009 - 2009 (<1 year)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2006 - 2009 (3 years)
License(s)

State Registrations

B
Alabama 12/3/2020
B
Nebraska 12/3/2020
B
Alaska 12/3/2020
B
Nevada 12/3/2020
B
Arizona 12/3/2020
B
New Hampshire 12/3/2020
B
Arkansas 12/3/2020
B
New Jersey 12/3/2020
B
California 7/31/2020
B
New Mexico 12/3/2020
IA
California 7/31/2020
B
New York 12/2/2020
B
Colorado 12/3/2020
B
North Carolina 12/3/2020
B
Connecticut 12/2/2020
B
North Dakota 12/3/2020
B
Delaware 12/3/2020
B
Ohio 12/3/2020
B
District of Columbia 12/3/2020
B
Oklahoma 12/3/2020
B
Florida 12/3/2020
B
Oregon 12/3/2020
B
Georgia 12/3/2020
B
Pennsylvania 12/3/2020
B
Hawaii 12/3/2020
B
Puerto Rico 1/5/2021
B
Idaho 12/3/2020
B
Rhode Island 12/3/2020
B
Illinois 12/3/2020
B
South Carolina 12/3/2020
B
Indiana 12/3/2020
B
South Dakota 12/3/2020
B
Iowa 12/3/2020
B
Tennessee 12/3/2020
B
Kansas 12/3/2020
B
Texas 12/2/2020
B
Kentucky 12/3/2020
IA
Texas 12/3/2020
B
Louisiana 12/3/2020
B
Utah 12/3/2020
B
Maine 12/3/2020
B
Vermont 12/3/2020
B
Maryland 12/3/2020
B
Virgin Islands 1/5/2021
B
Massachusetts 12/3/2020
B
Virginia 12/3/2020
B
Michigan 12/2/2020
B
Washington 12/3/2020
B
Minnesota 12/3/2020
B
West Virginia 12/3/2020
B
Mississippi 12/3/2020
B
Wisconsin 12/3/2020
B
Missouri 12/3/2020
B
Wyoming 12/3/2020
B
Montana 12/3/2020

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)
2775 Sand Hill Road Suite 120, Menlo Park, CA 94025
Registered with this firm since 7/31/2020
B
MORGAN STANLEY (CRD#:149777)
2775 Sand Hill Road Suite 120, Menlo Park, CA 94025
Registered with this firm since 7/13/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 01/11/2012 - 03/02/2012 SANCTUARY SECURITIES LLC (CRD#:144091) MENLO PARK, CA
B
 07/21/2010 - 11/11/2011 HIGHTOWER SECURITIES, LLC (CRD#:116681) MENLO PARK, CA
B
 08/21/2009 - 07/21/2010 PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747) MENLO PARK, CA
B
 06/01/2009 - 09/04/2009 MORGAN STANLEY SMITH BARNEY (CRD#:149777) MENLO PARK, CA
B
 06/30/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MENLO PARK, 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.