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Lily Cai

Morgan Stanley

Pasadena, 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 2018-07-17
CA RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2018-07-17
  • CA RA
    APPROVED
    Since 2009-06-01

Branch Locations

55 South Lake Avenue Pasadena Towers - Tower Ii Suite 700, Pasadena, CA 91101 • 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
Morgan Stanley Private Bank, N.A. New York NY 01/2015 Present
Morgan Stanley Smith Barney Llc Pasadena CA 06/2009 Present
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 06/2009 → Present
    Morgan Stanley Smith Barney Llc
    Pasadena, CA
Previous Registrations
  • 2007-07-27 → 2009-06-01
    Morgan Stanley & Co. Llc
    Pasadena, CA
  • 2003-09-19 → 2007-08-01
    Banc Of America Investment Services, Inc.
    Arcadia, CA
    Arcadia, CA
    Pasadena, CA
    Pasadena, CA
  • 2000-02-17 → 2002-06-04
    Citigroup Global Markets Inc.
    Beverly Hills, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-19
S63 Uniform Securities Agent State Law Examination 1999-12-15
  • S65 Uniform Investment Adviser Law Examination
    1999-12-19
  • S63 Uniform Securities Agent State Law Examination
    1999-12-15

View on SEC IAPD

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Jaymie BRIAN Wetzel
ALISA JANE CHANPONG
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Mui Fan CHAN Graca

Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
NASDAQ DORSEY WRIGHT · Pasadena, CA
U.S. BANCORP ADVISORS, LLC · Pasadena, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Pasadena, CA

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