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AY

Amy M. Yeung

MORGAN STANLEY & CO. LLC
New York, NY 10036-8293
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CRD#: 3126143
AY

Professional summary


Amy Meisiu Yeung, who also goes by Amy Yeng, Amy M Yeung, Amy Yeung, is a registered financial professional currently at MORGAN STANLEY & CO. LLC located in New York, New York.

Amy is registered as a RR (Registered Representative) and started their career in finance in 2012. Amy has worked at 3 firms and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Amy Yeng | Amy M Yeung | Amy Yeung

Other business activities


Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner


CRS (Client Relationship Summary) - BD


Click below to view Amy Meisiu Yeung's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Current

May 9, 2016 - Present

MORGAN STANLEY & CO. LLC

Office #1: 1585 Broadway, New York, NY 10036-8293
BD
CRD#: 8209
New York, NY
Past

May 9, 2016 - September 1, 2022

MORGAN STANLEY

BD
CRD#: 149777
New York, NY
Past

October 17, 2012 - September 1, 2022

MORGAN STANLEY DISTRIBUTION, INC.

BD
CRD#: 30344
New York, NY

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams


General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 10/16/2012
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm


MS
MORGAN STANLEY & CO. LLC
MORGAN STANLEY | MORGAN STANLEY DEAN WITTER | MORGAN STANLEY & CO., INCORPORATED | MORGAN STANLEY & CO. LLC | MORGAN STANLEY & CO. INCORPORATED

CRD#: 8209 / SEC#: , 8-15869

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information


Main Address
1585 Broadway, New York, NY 10036-8293
Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231
Phone number
(212) 761-4000
Established
Delaware since 12/03/1969
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers


NamePositionCRD#
MORGAN STANLEY CAPITAL MANAGEMENT, LLCMEMBER
BERKE, MATTHEW EVANCHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR2524594
BHAIMIA, ISMAIL OMARDIRECTOR6264162
DAMAST, EVAN SCOTTDIRECTOR3198635
HENNESSEY, JACQUELINE ATEXAS DESIGNATED PRINCIPAL2194034
HIRSHORN, WILLIAM DAVIDPRINCIPAL OPERATIONS OFFICER1564223
KRAUSE, GARD JCHIEF COMPLIANCE OFFICER2284628
LYNN, GARY MICHAELPRINCIPAL FINANCIAL OFFICER2162411
MACEJKA, PATRICK NMNDIRECTOR2139145
STERN, MICHAEL ADIRECTOR4939073

Disclosures


Regulatory Event487
Civil Event5
Arbitration56

Red Flags


Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information


MORGAN STANLEY & CO. LLC

CRD#: 8209New York, NY 10036-8293

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