Individual Firm
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CHRISTOPHER BOON LENG HOE
CHRIS HOE
CRD#: 5278870
IA
B
MORGAN STANLEYCRD#: 149777 2725 Sand Hill Road
Menlo Park, CA 94025
Menlo Park, CA 94025
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10/1/2012
Customer Dispute
Denied
State Registrations
B
Alabama 10/6/2023
B
Michigan 11/1/2022
B
Alaska 7/7/2022
B
Minnesota 10/6/2023
B
Arizona 1/17/2014
B
Montana 10/6/2023
B
California 1/17/2014
B
Nevada 1/6/2023
IA
California 1/17/2014
B
New Jersey 6/21/2016
B
Colorado 1/4/2023
B
New York 5/15/2018
B
Connecticut 2/12/2025
B
North Carolina 10/17/2024
B
Delaware 1/6/2023
B
Ohio 1/17/2014
B
District of Columbia 9/26/2023
B
Oregon 2/28/2019
B
Florida 5/15/2018
B
Pennsylvania 1/4/2023
B
Georgia 1/31/2014
B
South Carolina 10/6/2023
B
Hawaii 4/15/2021
B
Tennessee 12/21/2022
B
Idaho 8/19/2022
B
Texas 10/12/2018
B
Illinois 7/5/2023
IA
Texas 3/3/2020
B
Indiana 10/6/2023
B
Utah 1/6/2023
B
Iowa 3/18/2015
B
Virginia 9/28/2023
B
Kansas 9/28/2023
B
Washington 1/17/2014
B
Maryland 2/20/2025
B
Wyoming 7/21/2023
B
Massachusetts 8/9/2021
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 1/17/2014
B
Registered with this firm since 1/17/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/18/2008 - 01/21/2014 | SAN JOSE, CA | |
B | 01/01/2008 - 01/21/2014 | SAN JOSE, CA | |
B | 03/12/2007 - 01/03/2008 | SURPRISE, AZ |
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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.