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Robert L Peng

Morgan Stanley

Irvine, CA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-08-03
CA RA APPROVED 2021-07-23
  • TX RA
    APPROVED_RES
    Since 2021-08-03
  • CA RA
    APPROVED
    Since 2021-07-23

Branch Locations

1901 Main Street Suite 700, Irvine, CA 92614 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Scottrade, Inc. Yorba Linda CA 09/2010 02/2018
Td Ameritrade, Inc. Yorba Linda CA 02/2018 07/2021
Td Ameritrade Investment Management, Llc Omaha NE 02/2018 07/2021
Morgan Stanley Irvine CA 07/2021 Present
  • 09/2010 → 02/2018
    Scottrade, Inc.
    Yorba Linda, CA
  • 02/2018 → 07/2021
    Td Ameritrade, Inc.
    Yorba Linda, CA
  • 02/2018 → 07/2021
    Td Ameritrade Investment Management, Llc
    Omaha, NE
  • 07/2021 → Present
    Morgan Stanley
    Irvine, CA
Previous Registrations
  • 2018-02-27 → 2021-07-07
    Td Ameritrade, Inc.
    Brea, CA
    Irvine, CA
    Pasadena, CA
    Pasadena, CA
  • 2018-02-26 → 2021-07-07
    Td Ameritrade Investment Management, Llc
    Omaha, NE
    Yorba Linda, CA
    Irvine, CA
    Pasadena, CA
    Pasadena, CA
  • 2016-09-28 → 2018-02-26
    Scottrade Investment Management
    Saint Louis, MO
  • 2007-11-12 → 2010-09-08
    Wells Fargo Clearing Services, Llc
    Huntington Beach, CA
    Irvine, CA
    Huntington Beach, CA
    Irvine, CA
    Los Angeles, CA
    Irvine, CA
  • 2010-04-27 → 2010-05-20
    Wells Fargo Investments, Llc
    Huntington Beach, CA
  • 2005-02-01 → 2007-09-06
    Wells Fargo Investments, Llc
    Huntington Beach, CA
    Huntington Beach, CA
  • 2004-09-14 → 2004-10-26
    Ameriprise Financial Services, Llc
    Irvine, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-09-13
S65 Uniform Investment Adviser Law Examination 2000-09-22
S63 Uniform Securities Agent State Law Examination 2000-09-01
  • S66 Uniform Combined State Law Examination
    2004-09-13
  • S65 Uniform Investment Adviser Law Examination
    2000-09-22
  • S63 Uniform Securities Agent State Law Examination
    2000-09-01
Other Names
  • Robert Long Peng

View on SEC IAPD

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