Shashi Vivek Bhatia

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

• 08/2015 → 11/2016
  Wells Fargo Advisors Llc
  San Jose, CA
• 11/2016 → 03/2017
  Wells Fargo Clearing Services, Llc
  San Jose, CA
• 06/2017 → 01/2022
  Ubs Financial Services Inc.
  San Jose, CA
• 01/2022 → Present
  Morgan Stanley
  Scotts Valley, CA

Previous Registrations

• 2017-06-28 → 2022-01-10
  Ubs Financial Services Inc.
  San Jose, CA
  Los Gatos, CA
• 2015-08-07 → 2017-02-22
  Wells Fargo Clearing Services, Llc
  San Jose, CA
• 2012-04-24 → 2014-02-28
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Schaumburg, IL
• 2007-09-05 → 2012-04-13
  Rbc Capital Markets, Llc
  Buffalo Grove, IL
• 2007-04-16 → 2007-09-14
  Bmo Harris Financial Advisors, Inc.
  Buffalo Grove, IL

Exams

• S66 Uniform Combined State Law Examination
  2007-04-13
• S63 Uniform Securities Agent State Law Examination
  2003-12-24

Other Names

• Shashi K Wadha
• Shashi K Wadhwa
• Shashi K Wadhwa
• Shashi Vivek Bhatia
• Shashi Bhatia