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Sophia Wu

Morgan Stanley

San Francisco, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-10-02
CA RA APPROVED 2023-09-05
  • TX RA
    APPROVED_RES
    Since 2023-10-02
  • CA RA
    APPROVED
    Since 2023-09-05

Branch Locations

221 Main Street Suite 1340, San Francisco, CA 94105 • 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
E*Trade Securities Llc San Francisco CA 09/2017 05/2022
Sushi House Alameda CA 10/2013 03/2019
East Bay Asian Youth Center Oakland CA 09/2006 09/2017
E*Trade Capital Management Llc San Francisco CA 01/2018 05/2022
E*Trade Securities Llc San Francisco CA 05/2022 Present
E*Trade Capital Management Llc San Francisco CA 05/2022 Present
Morgan Stanley San Francisco CA 03/2023 Present
Morgan Stanley San Francisco CA 09/2023 Present
Morgan Stanley San Francisco CA 09/2023 Present
  • 09/2017 → 05/2022
    E*Trade Securities Llc
    San Francisco, CA
  • 10/2013 → 03/2019
    Sushi House
    Alameda, CA
  • 09/2006 → 09/2017
    East Bay Asian Youth Center
    Oakland, CA
  • 01/2018 → 05/2022
    E*Trade Capital Management Llc
    San Francisco, CA
  • 05/2022 → Present
    E*Trade Securities Llc
    San Francisco, CA
  • 05/2022 → Present
    E*Trade Capital Management Llc
    San Francisco, CA
  • 03/2023 → Present
    Morgan Stanley
    San Francisco, CA
  • 09/2023 → Present
    Morgan Stanley
    San Francisco, CA
  • 09/2023 → Present
    Morgan Stanley
    San Francisco, CA
Previous Registrations
  • 2018-02-26 → 2023-09-05
    Harrisdirect Llc
    San Francisco, CA
    Arlington, VA
    San Francisco, CA
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-02-26
  • S66 Uniform Combined State Law Examination
    2018-02-26

View on SEC IAPD

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Other Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA
1SHARPE CAPITAL LLC · SAN FRANCISCO, CA
RBC SECURITIES, INC · SAN FRANCISCO, CA
STRATEGIC ADVISERS LLC · SAN FRANCISCO, CA
VALEAS CAPITAL PARTNERS · SAN FRANCISCO, CA
ZENTARA EXCHANGE LTD · SAN FRANCISCO, CA

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