Individual Firm
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ANNY CHO-FANG SHEN
CRD#: 5247476
IA
B
MORGAN STANLEYCRD#: 149777 55 South Lake Avenue Pasadena Towers - Tower II
Suite 700
Pasadena, CA 91101
Suite 700
Pasadena, CA 91101
0
Disclosures
18
Years of Experience
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State Registrations
B
Alaska 7/23/2024
B
Indiana 8/7/2024
B
California 6/1/2009
B
Nevada 3/8/2011
IA
California 6/1/2009
B
North Carolina 9/13/2017
B
Florida 8/28/2024
B
Oregon 7/23/2024
B
Hawaii 7/23/2024
B
Texas 5/22/2012
B
Idaho 3/24/2025
IA
Texas 3/3/2020
B
Illinois 2/22/2022
B
Washington 9/22/2020
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 06/01/2009 | PASADENA, CA | |
B | 04/02/2007 - 06/01/2009 | PASADENA, CA | |
IA | 01/30/2007 - 04/02/2007 | PASADENA, CA | |
B | 01/10/2007 - 04/02/2007 | PASADENA, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.