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Stephen Lo

Morgan Stanley

San Mateo, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-10-30
TX RA APPROVED 2025-10-30
  • CA RA
    APPROVED
    Since 2025-10-30
  • TX RA
    APPROVED
    Since 2025-10-30

Branch Locations

411 Borel Avenue Suite 220, San Mateo, CA 94402 • 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
Wells Fargo Advisors Llc Foster City CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Foster City CA 11/2016 10/2025
Morgan Stanley Smith Barney Llc San Mateo CA 10/2025 Present
Morgan Stanley Private Bank, N.A New York NY 12/2025 Present
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    Foster City, CA
  • 11/2016 → 10/2025
    Wells Fargo Clearing Services, Llc
    Foster City, CA
  • 10/2025 → Present
    Morgan Stanley Smith Barney Llc
    San Mateo, CA
  • 12/2025 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-10-19
S63 Uniform Securities Agent State Law Examination 1991-10-11
  • S65 Uniform Investment Adviser Law Examination
    1998-10-19
  • S63 Uniform Securities Agent State Law Examination
    1991-10-11
Designations
Other Names
  • Kwokkieh Lo
  • Stephen Lo
  • Kwok Kieh Lo
  • Stephen Kwokkieh Lo

View on SEC IAPD

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CHRISTIAN MICHAEL BRETZ
CHRISTOPHER JAMES CALL
CLAY DEAN WILLIAM STAFFORD
Jacob Daly

Other Offices

NEWFRONT RETIREMENT SERVICES, INC. · SAN MATEO, CA
ESO MANAGEMENT SERVICES LLC · SAN MATEO, CA
FARMERS ASSET MANAGEMENT, LLC · San Mateo, CA
EAGLE STRATEGIES LLC · SAN MATEO, CA
LPL FINANCIAL LLC · SAN MATEO, CA
FISHER INVESTMENTS · SAN MATEO, CA
FISHER INVESTMENTS · SAN MATEO, CA
FISHER INVESTMENTS · SAN MATEO, CA

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