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Alice Guo

Morgan Stanley

Beverly Hills, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-12-03
CA RA APPROVED 2020-11-20
  • TX RA
    APPROVED
    Since 2020-12-03
  • CA RA
    APPROVED
    Since 2020-11-20

Branch Locations

9665 Wilshire Boulevard Suite 600, Beverly Hills, CA 90212 • 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
Lpl Financial San Diego CA 10/2006 01/2018
Cetera Advisor Networks Llc El Segundo CA 01/2018 10/2019
Cetera Advisors Llc Denver CO 08/2018 10/2019
Cetera Investment Services Llc St. Cloud MN 08/2018 10/2019
Cetera Financial Specialists Llc Schaumburg IL 08/2018 10/2019
First Allied Securities, Inc San Diego CA 08/2018 10/2019
Summit Brokerage Services, Inc Boca Raton FL 08/2018 10/2019
Morgan Stanley Beverly Hills CA 10/2019 Present
  • 10/2006 → 01/2018
    Lpl Financial
    San Diego, CA
  • 01/2018 → 10/2019
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 08/2018 → 10/2019
    Cetera Advisors Llc
    Denver, CO
  • 08/2018 → 10/2019
    Cetera Investment Services Llc
    St. Cloud, MN
  • 08/2018 → 10/2019
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 08/2018 → 10/2019
    First Allied Securities, Inc
    San Diego, CA
  • 08/2018 → 10/2019
    Summit Brokerage Services, Inc
    Boca Raton, FL
  • 10/2019 → Present
    Morgan Stanley
    Beverly Hills, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-11-20
  • S66 Uniform Combined State Law Examination
    2020-11-20

View on SEC IAPD

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Other Investors

CECIL YAN SEE HO
JONATHAN Y MCLEAN
ERIN PATRICE BROOKS
Audrey Shih-Min Chang
JULIE FORMAN
KAMRAN W. HEDJASI
HRIPSIME SIMA KEOSHGERIAN
LILY CAI

Other Offices

MORGAN STANLEY · Pasadena, CA
EAGLE STRATEGIES LLC · Pasadena, CA
RBC SECURITIES, INC · Pasadena, CA
EAGLE STRATEGIES LLC · PASADENA, CA
RBC ROCHDALE, LLC · Pasadena, CA
EAGLE STRATEGIES LLC · PASADENA, CA
LPL FINANCIAL LLC · PASADENA, CA
LPL FINANCIAL LLC · PASADENA, CA

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