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Ethan J Lui

Morgan Stanley

Santa Ana, CA

Brea, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-09-06
CA RA APPROVED 2022-08-18
  • TX RA
    APPROVED
    Since 2022-09-06
  • CA RA
    APPROVED
    Since 2022-08-18

Branch Locations

2677 North Main Street Suite 1000, Santa Ana, CA 92705 • United States

Ten Pointe Drive Suite 400, Brea, CA 92821 • 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 Smith Barney Llc Santa Ana CA 05/2022 Present
East West Bank Pasadena CA 03/2022 05/2022
University Of California, Riverside Riverside CA 09/2019 12/2021
Los Alamitos High School Los Alamitos CA 09/2015 06/2019
  • 05/2022 → Present
    Morgan Stanley Smith Barney Llc
    Santa Ana, CA
  • 03/2022 → 05/2022
    East West Bank
    Pasadena, CA
  • 09/2019 → 12/2021
    University Of California, Riverside
    Riverside, CA
  • 09/2015 → 06/2019
    Los Alamitos High School
    Los Alamitos, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-08-18
  • S66 Uniform Combined State Law Examination
    2022-08-18

View on SEC IAPD

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Other Offices

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SANTA ANA, CA
VALMARK ADVISERS, INC. · Santa Ana, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SANTA ANA, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · TUSTIN, CA
OSAIC WEALTH, INC. · Tustin, CA
EDWARD JONES · TUSTIN, CA
CETERA INVESTMENT ADVISERS LLC · SANTA ANA, CA
CENTAURUS FINANCIAL, INC. · Santa Ana, CA

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