Nini Wu

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-07-30
WA	RA	APPROVED	2020-01-31

TX RA
APPROVED_RES

Since 2021-07-30
WA RA
APPROVED

Since 2020-01-31

Branch Locations

4000 Carillon Point Suite 600, Kirkland, WA 98033 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
East West Bank	Bellevue	WA	08/2015	01/2020
Cetera Investment Services Llc	St. Cloud	MN	10/2015	01/2020
Cetera Investment Advisers Llc	Bellevue	WA	01/2016	01/2020
Morgan Stanley Smith Barney Llc	Bellevue	WA	01/2020	Present
Morgan Stanley Private Bank, N.A	New York	NY	02/2020	Present

08/2015 → 01/2020

East West Bank

Bellevue, WA
10/2015 → 01/2020

Cetera Investment Services Llc

St. Cloud, MN
01/2016 → 01/2020

Cetera Investment Advisers Llc

Bellevue, WA
01/2020 → Present

Morgan Stanley Smith Barney Llc

Bellevue, WA
02/2020 → Present

Morgan Stanley Private Bank, N.A

New York, NY

Previous Registrations

2016-01-08 → 2020-02-03

Cetera Investment Advisers Llc

Bellevue, WA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-01-07

S66 Uniform Combined State Law Examination

2016-01-07

View on SEC IAPD

Current Employers

Morgan Stanley

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews