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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-09-19
CA RA APPROVED 2019-09-10
  • TX RA
    APPROVED_RES
    Since 2019-09-19
  • CA RA
    APPROVED
    Since 2019-09-10

Branch Locations

2725 Sand Hill Road Pwm, Menlo Park, CA 94025 • United States

555 California Street Pwm, San Francisco, CA 94104 • United States

Fremont, CA • 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
World Financial Group, Inc Alviso CA 06/2017 07/2019
Transamerica Financial Advisors, Inc Alviso CA 09/2017 03/2018
Morgan Stanley Menlo Park CA 08/2019 Present
Mex Group Worldwide Limited North Point 06/2016 06/2017
Mex Group Worldwide Limited North Point 03/2018 05/2019
  • 06/2017 → 07/2019
    World Financial Group, Inc
    Alviso, CA
  • 09/2017 → 03/2018
    Transamerica Financial Advisors, Inc
    Alviso, CA
  • 08/2019 → Present
    Menlo Park, CA
  • 06/2016 → 06/2017
    Mex Group Worldwide Limited
    North Point
  • 03/2018 → 05/2019
    Mex Group Worldwide Limited
    North Point
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-08-19
S63 Uniform Securities Agent State Law Examination 2012-09-27
  • S66 Uniform Combined State Law Examination
    2015-08-19
  • S63 Uniform Securities Agent State Law Examination
    2012-09-27
Other Names
  • Nhi P Giang

View on SEC IAPD

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