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Detailed Report
ERIC YIZHENG LEE
Ming Li
CRD#: 6611906
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 2775 Sand Hill Road
Suite 120
Menlo Park, CA 94025
Registration History
201620172018201920202021202220232024202520262 FIRMS2019 - 2022 (3 years)2 FIRMS2022 - Present (2 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2016 - 2019 (2 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2016 - 2016 (<1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2017 - 2019 (2 years)
License(s)

State Registrations

B
Alabama 11/17/2022
B
Nebraska 11/17/2022
B
Alaska 11/17/2022
B
Nevada 11/17/2022
B
Arizona 11/17/2022
B
New Hampshire 11/17/2022
B
Arkansas 11/17/2022
B
New Jersey 11/17/2022
B
California 11/17/2022
B
New Mexico 11/17/2022
IA
California 11/17/2022
B
New York 11/17/2022
B
Colorado 11/17/2022
B
North Carolina 11/17/2022
B
Connecticut 11/17/2022
B
North Dakota 11/17/2022
B
Delaware 11/17/2022
B
Ohio 11/17/2022
B
District of Columbia 11/17/2022
B
Oklahoma 11/17/2022
B
Florida 11/17/2022
B
Oregon 11/17/2022
B
Georgia 11/17/2022
B
Pennsylvania 11/17/2022
B
Hawaii 11/17/2022
B
Puerto Rico 11/17/2022
B
Idaho 11/17/2022
B
Rhode Island 11/17/2022
B
Illinois 11/17/2022
B
South Carolina 11/17/2022
B
Indiana 11/17/2022
B
South Dakota 11/17/2022
B
Iowa 11/17/2022
B
Tennessee 11/17/2022
B
Kansas 11/17/2022
B
Texas 11/17/2022
B
Kentucky 11/17/2022
IA
Texas 11/17/2022
B
Louisiana 11/17/2022
B
Utah 11/17/2022
B
Maine 11/17/2022
B
Vermont 11/17/2022
B
Maryland 11/17/2022
B
Virgin Islands 11/17/2022
B
Massachusetts 11/17/2022
B
Virginia 11/17/2022
B
Michigan 11/17/2022
B
Washington 11/17/2022
B
Minnesota 11/17/2022
B
West Virginia 11/17/2022
B
Mississippi 11/17/2022
B
Wisconsin 11/17/2022
B
Missouri 11/17/2022
B
Wyoming 11/17/2022
B
Montana 11/17/2022

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)
2775 Sand Hill Road Suite 120, Menlo Park, CA 94025
Registered with this firm since 11/17/2022
B
MORGAN STANLEY (CRD#:149777)
2775 Sand Hill Road Suite 120, Menlo Park, CA 94025
Registered with this firm since 11/17/2022
Previous Registration(s)
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IA
 10/07/2019 - 10/27/2022 FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. (CRD#:108559) San Francisco, CA
B
 10/07/2019 - 10/27/2022 FIRST REPUBLIC SECURITIES COMPANY, LLC (CRD#:105108) SAN FRANCISCO, CA
IA
 06/05/2017 - 11/06/2019 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN FRANCISCO, CA
B
 12/12/2016 - 11/06/2019 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN FRANCISCO, CA
B
 03/11/2016 - 11/15/2016 J.P. MORGAN SECURITIES LLC (CRD#:79) SAN FRANCISCO, 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.