Xiaolu Yan

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2013 → 01/2017
  Morgan Stanley Smith Barney Llc
  New York, NY
• 01/2017 → 10/2018
  Morgan Stanley Smith Barney Llc
  New York, NY
• 10/2018 → 06/2022
  East West Bank
  New York, NY
• 10/2018 → 06/2022
  Cetera Investment Services Llc
  St. Cloud, MN
• 10/2018 → 06/2022
  Cetera Investment Advisers Llc
  New York, NY
• 06/2022 → Present
  Morgan Stanley Smith Barney Llc
  Menlo Park, CA
• 06/2022 → Present
  Morgan Stanley Private Bank, N.A
  New York, NY

Previous Registrations

• 2018-10-31 → 2022-06-21
  Cetera Investment Advisers Llc
  New York, NY
• 2014-04-21 → 2018-10-17
  Morgan Stanley
  New York, NY

Other Businesses

*612753- Rental Property; Investment related: Yes; Brooklyn, New York; Rental Property; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 07/2024; During business hours: 0; After business hours: 1; Property Management

Exams

• S66 Uniform Combined State Law Examination
  2014-04-17

Other Names

• Lucy Yan
• Lucy Xiaolu Yan