Michael Y Yen

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2010 → Present
  Morgan Stanley Smith Barney
  Irvine, CA
• 01/2015 → Present
  Morgan Stanley Private Bank, National Association
  New York, NY

Previous Registrations

• 2006-08-18 → 2010-11-10
  Hsbc Securities (Usa) Inc.
  Walnut, CA
  Walnut, CA
  Irvine, CA
  Alhambra, CA
  Beverly Hills, CA
  Diamond Bar, CA
  Pasadena, CA
  Los Angeles, CA
  Rowland Heights, CA
  Arcadia, CA
  Irvine, CA
• 2003-10-09 → 2006-08-07
  Banc Of America Investment Services, Inc.
  Pasadena, CA
  Alhambra, CA
  Pasadena, CA
  Pasadena, CA

Exams

• S66 Uniform Combined State Law Examination
  2003-10-08
• S63 Uniform Securities Agent State Law Examination
  2000-10-06

Designations

• Certified Financial Planner

Other Names

• Michael Yuen Yen