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Lia C Roby

Morgan Stanley

Seattle, WA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2022-07-14
  • WA RA
    APPROVED
    Since 2022-07-14

Branch Locations

601 Union Street, Two Union Square Suite 5200, Seattle, WA 98101 • 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
Trade Monster Chicago IL 01/2015 10/2017
E*Trade Securities Llc Chicago IL 08/2017 03/2018
E*Trade Capital Management Llc Chicago IL 02/2018 03/2018
E*Trade Securities Llc Seattle WA 03/2018 01/2021
E*Trade Capital Management Llc Seattle WA 03/2018 01/2021
E*Trade Securities Llc Seattle WA 01/2021 Present
E*Trade Capital Management Llc Seattle WA 01/2021 Present
Morgan Stanley Seattle WA 07/2022 Present
Morgan Stanley Seattle WA 09/2023 Present
  • 01/2015 → 10/2017
    Trade Monster
    Chicago, IL
  • 08/2017 → 03/2018
    E*Trade Securities Llc
    Chicago, IL
  • 02/2018 → 03/2018
    E*Trade Capital Management Llc
    Chicago, IL
  • 03/2018 → 01/2021
    E*Trade Securities Llc
    Seattle, WA
  • 03/2018 → 01/2021
    E*Trade Capital Management Llc
    Seattle, WA
  • 01/2021 → Present
    E*Trade Securities Llc
    Seattle, WA
  • 01/2021 → Present
    E*Trade Capital Management Llc
    Seattle, WA
  • 07/2022 → Present
    Morgan Stanley
    Seattle, WA
  • 09/2023 → Present
    Morgan Stanley
    Seattle, WA
Previous Registrations
  • 2018-04-23 → 2023-09-05
    Harrisdirect Llc
    Seattle, WA
    Chicago, IL
    Arlington, VA
    Kirkland, WA
    Seattle, WA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-04-23
S63 Uniform Securities Agent State Law Examination 2007-11-02
  • S65 Uniform Investment Adviser Law Examination
    2018-04-23
  • S63 Uniform Securities Agent State Law Examination
    2007-11-02
Other Names
  • Lia Cristina Carlos
  • Lia Cristina Ysabel Carl Roby

View on SEC IAPD

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CHRIS DARRYL FEATHERSTONE
WILLIAM LEE REECE
ANDREW JAMES BARFOOT
JONATHAN JACOB WITTLIN
MATTHEW ALLAN TIGERT
JENNA M BRAZILE

Other Offices

KLAKNA GROUP LTD · SEATTLE, WA
EUCLIDEAN TECHNOLOGIES MANAGEMENT, LLC · SEATTLE, WA
MADISON PARK CAPITAL ADVISORS, LLC · SEATTLE, WA
ETERNAL DIGITAL FUND LTD. · SEATTLE, WA
FREESTONE CAPITAL MANAGEMENT, LLC · SEATTLE, WA
CEDAR RIVER CAPITAL, LLC · SEATTLE, WA
ROBERT A. UNDERHILL P.C. · SEATTLE, WA
SITKA PACIFIC CAPITAL MANAGEMENT, LLC · SEATTLE, WA

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