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Catherine Wenlian Tong-Lee

Morgan Stanley

Kirkland, WA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-03-25
WA RA APPROVED 2021-03-25
  • TX RA
    APPROVED
    Since 2021-03-25
  • WA RA
    APPROVED
    Since 2021-03-25

Branch Locations

4000 Carillon Point Suite 600, Kirkland, WA 98033 • 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 Bellevue WA 08/2014 11/2016
Wells Fargo Clearing Services, Llc Bellevue WA 11/2016 03/2021
Morgan Stanley Smith Barney Llc Kirkland WA 03/2021 Present
Morgan Stanley Private Bank, N.A New York NY 04/2021 Present
  • 08/2014 → 11/2016
    Wells Fargo Advisors, Llc
    Bellevue, WA
  • 11/2016 → 03/2021
    Wells Fargo Clearing Services, Llc
    Bellevue, WA
  • 03/2021 → Present
    Morgan Stanley Smith Barney Llc
    Kirkland, WA
  • 04/2021 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-10-18
S63 Uniform Securities Agent State Law Examination 1995-12-18
  • S66 Uniform Combined State Law Examination
    2014-10-18
  • S63 Uniform Securities Agent State Law Examination
    1995-12-18
Designations
Other Names
  • Wenlian Tong
  • Catherine W Tong
  • Catherine W Tong Lee
  • Catherine Wenlian Tong Lee

View on SEC IAPD

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