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Detailed Report
NINA A KIM
NINA KHANH NGUYEN, NINA THI NGUYEN, Khanh An Thi Nguyen, Khanh An Nguyen
CRD#: 6191238
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 Tustin, CA
Registration History
2014201520162017201820192020202120222023202420252026IAMORGAN STANLEY (CRD# 149777)2021 - Present (4 years)BMORGAN STANLEY (CRD# 149777)2019 - Present (5 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2018 - 2019 (1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2016 - 2018 (1 year)BUNIONBANC INVESTMENT SERVICES, LLC (CRD# 14455)2016 - 2016 (<1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2014 - 2015 (1 year)
License(s)

State Registrations

B
Alaska 6/2/2021
B
Nebraska 1/31/2022
B
Arizona 2/9/2021
B
Nevada 3/3/2021
B
Arkansas 2/9/2021
B
New Jersey 2/9/2021
B
California 12/19/2019
B
New Mexico 2/18/2021
IA
California 1/1/2021
B
New York 2/9/2021
B
Colorado 2/9/2021
B
North Carolina 2/9/2021
B
Connecticut 1/5/2022
B
Ohio 2/10/2021
B
District of Columbia 8/31/2023
B
Oregon 2/9/2021
B
Florida 2/9/2021
B
Pennsylvania 2/9/2021
B
Georgia 2/9/2021
B
South Carolina 6/2/2021
B
Hawaii 2/9/2021
B
Texas 2/9/2021
B
Illinois 1/31/2022
IA
Texas 2/11/2021
B
Indiana 2/9/2021
B
Vermont 2/9/2021
B
Louisiana 1/31/2022
B
Virginia 1/5/2022
B
Maryland 2/9/2021
B
Washington 2/9/2021
B
Massachusetts 2/9/2021
B
Wisconsin 2/9/2021
B
Michigan 2/9/2021

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)
Tustin, CA
Registered with this firm since 1/1/2021
B
MORGAN STANLEY (CRD#:149777)
Tustin, CA
Registered with this firm since 12/19/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 09/06/2018 - 12/06/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BEVERLY HILLS, CA
B
 10/12/2016 - 08/22/2018 J.P. MORGAN SECURITIES LLC (CRD#:79) FOUNTAIN VALLEY, CA
B
 01/11/2016 - 08/18/2016 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) PLACENTIA, CA
B
 03/03/2014 - 07/29/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) HUNTINGTON BEACH, 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.