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SHU ZHANG
Catherine Zhang
CRD#: 5375474
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 3280 Peachtree Road
Suite 1900
Atlanta, GA 30305
Registration History
20082010201220142016201820202022202420262 FIRMS2016 - Present (8 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2009 - 2016 (7 years)BBANC OF AMERICA SECURITIES LLC (CRD# 26091)2008 - 2010 (2 years)
Disclosure(s)
View By:
3/14/2022
Customer Dispute
Settled
License(s)

State Registrations

B
California 1/2/2020

B
New York 7/29/2016

B
Delaware 1/6/2020

B
North Carolina 11/13/2024

B
Florida 1/6/2021

B
Pennsylvania 11/4/2016

B
Georgia 6/10/2016

B
South Carolina 2/14/2024

IA
Georgia 6/27/2016

B
South Dakota 10/8/2019

B
Michigan 1/10/2022

B
Tennessee 6/14/2023

B
Nevada 9/16/2020

IA
Texas 3/14/2022

B
New Hampshire 6/8/2022

B
Utah 3/16/2023

B
New Jersey 6/7/2017

B
Virginia 4/6/2023

B
New Mexico 5/18/2022

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)
3280 Peachtree Road Suite 1900, Atlanta, GA 30305
Registered with this firm since 6/27/2016

B
MORGAN STANLEY (CRD#:149777)
3280 Peachtree Road Suite 1900, Atlanta, GA 30305
Registered with this firm since 6/10/2016

Previous Registration(s)
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B
03/16/2009 - 04/19/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
09/05/2008 - 11/01/2010 BANC OF AMERICA SECURITIES LLC (CRD#:26091) NEW YORK, NY
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B
Broker
IA
Investment Adviser
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.