Best Investors Account Sign in

Lawrence Lo

Morgan Stanley

San Jose, CA

CRD 3112426

Claim This Profile
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:

Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2011-03-08
CA RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2011-03-08
  • CA RA
    APPROVED
    Since 2009-06-01

Branch Locations

225 West Santa Clara Street Suite 900, San Jose, CA 95113 • 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
Citigroup Global Markets Inc. San Jose CA 08/1998 Present
Morgan Stanley Smith Barney San Jose CA 06/2009 Present
Morgan Stanley Private Bank, N.A. New York NY 05/2019 Present
  • 08/1998 → Present
    Citigroup Global Markets Inc.
    San Jose, CA
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    San Jose, CA
  • 05/2019 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-04-12
S63 Uniform Securities Agent State Law Examination 2000-03-18
  • S65 Uniform Investment Adviser Law Examination
    2003-04-12
  • S63 Uniform Securities Agent State Law Examination
    2000-03-18
Other Names
  • Lawrence Lo

View on SEC IAPD

Nearby Firms

J.P. MORGAN SECURITIES LLC
PFG ADVISORS
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Nearby Investors

Ryan Leiby
Adrian Baker
Bianca N. Cross

Nearby Offices

J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
PFG ADVISORS · San Jose, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA

More in San Jose, CA

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor