Yilun Liu

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2022-07-22
TX	RA	APPROVED	2022-07-22

CA RA
APPROVED

Since 2022-07-22
TX RA
APPROVED

Since 2022-07-22

Branch Locations

1901 Main Street Suite 700, Irvine, CA 92614 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Bank, N.A.	Irvine	CA	06/2016	07/2022
Wells Fargo Clearing Services Llc	Irvine	CA	07/2017	07/2022
Morgan Stanley Smith Barney Llc	Irvine	CA	07/2022	Present
Morgan Stanley Private Bank, N.A	New York	NY	08/2022	Present

06/2016 → 07/2022

Wells Fargo Bank, N.A.

Irvine, CA
07/2017 → 07/2022

Wells Fargo Clearing Services Llc

Irvine, CA
07/2022 → Present

Morgan Stanley Smith Barney Llc

Irvine, CA
08/2022 → Present

Morgan Stanley Private Bank, N.A

New York, NY

Previous Registrations

2021-02-09 → 2022-07-27

Wells Fargo Clearing Services, Llc

Irvine, CA

Irvine, CA

Irvine, CA

Irvine, CA

Other Businesses

*621524 - Rent; Investment related: Yes; irvine, California; Rental Property; Sole Proprietor/Owner(proprietor, partner, officer, director, employee, trustee, agent); 12/2024; During business hours: 0; After business hours: 0; Property Management

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-02-08
S63	Uniform Securities Agent State Law Examination	2017-11-16

S65 Uniform Investment Adviser Law Examination

2021-02-08
S63 Uniform Securities Agent State Law Examination

2017-11-16

Other Names

Tom Liu

View on SEC IAPD