Individual Firm
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WENXIN YU
CRD#: 5724770
IA
B
MORGAN STANLEYCRD#: 149777 4309 Hacienda Drive
Suite 200
Pleasanton, CA 94588
Suite 200
Pleasanton, CA 94588
0
Disclosures
14
Years of Experience
View By:
State Registrations
B
Arizona 8/21/2024
B
New York 8/21/2017
B
California 5/17/2016
B
Pennsylvania 2/14/2024
IA
California 5/18/2016
B
Texas 1/3/2018
B
Nevada 9/9/2019
IA
Texas 9/9/2019
B
New Jersey 7/26/2021
B
Washington 6/16/2021
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 5/18/2016
B
Registered with this firm since 5/17/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/21/2015 - 05/09/2016 | PLEASANTON, CA | |
B | 01/21/2015 - 05/09/2016 | PLEASANTON, CA | |
IA | 04/12/2010 - 12/12/2014 | SAN JOSE, CA | |
B | 02/17/2010 - 12/12/2014 | SAN JOSE, CA |
PLEASANTON, CA
01/21/2015 - 05/09/2016
PLEASANTON, CA
01/21/2015 - 05/09/2016
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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.