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Catherine M Shen

Morgan Stanley

Cupertino, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-11-29
CA RA APPROVED 2024-07-10
  • TX RA
    APPROVED
    Since 2024-11-29
  • CA RA
    APPROVED
    Since 2024-07-10

Branch Locations

20400 Stevens Creek Boulevard Suite 350, Cupertino, CA 95014 • 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 Cupertino CA 02/2024 Present
Morgan Stanley Cupertino CA 05/2023 02/2024
Compass Palo Alto CA 01/2014 12/2022
Unemployed Cupertino CA 01/2023 04/2023
Morgan Stanley Private Bank, N.A New York NY 05/2024 Present
  • 02/2024 → Present
    Morgan Stanley
    Cupertino, CA
  • 05/2023 → 02/2024
    Morgan Stanley
    Cupertino, CA
  • 01/2014 → 12/2022
    Compass
    Palo Alto, CA
  • 01/2023 → 04/2023
    Unemployed
    Cupertino, CA
  • 05/2024 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2024-07-16
S65 Uniform Investment Adviser Law Examination 2024-07-09
  • S63 Uniform Securities Agent State Law Examination
    2024-07-16
  • S65 Uniform Investment Adviser Law Examination
    2024-07-09
Other Names
  • Min Shen

View on SEC IAPD

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Other Offices

CHARLES SCHWAB & CO., INC. · Cupertino, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · CUPERTINO, CA
CITIGROUP GLOBAL MARKETS INC. · CUPERTINO, CA
EVEREST PRIVATE WEALTH · CUPERTINO, CA
AIMTOP ADVISORS, LLC · CUPERTINO, CA
AKRISH FINANCIAL ADVISORY · CUPERTINO, CA
FV ADVISORS LLC · CUPERTINO, CA
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