Siu C. Chan

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CRD#: 4504045

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Siu Chun Chan, who also goes by Kay Kay Chan, was a registered financial professional .

Siu is a previously registered financial professional and started their career in finance in 2002. Siu had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Aliases

Kay Kay Chan

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 21, 2024 - September 21, 2026

MORGAN STANLEY

RIA

CRD#: 149777

San Francisco, CA

Past

May 21, 2024 - September 21, 2026

MORGAN STANLEY

CRD#: 149777

San Francisco, CA

Past

January 1, 2010 - May 21, 2024

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN FRANCISCO, CA

Past

January 1, 2010 - May 21, 2024

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SAN FRANCISCO, CA

Past

February 25, 2008 - January 1, 2010

UBS INTERNATIONAL INC.

RIA

CRD#: 107726

SAN FRANCISCO, CA

Past

December 7, 2005 - January 1, 2010

UBS INTERNATIONAL INC.

CRD#: 107726

SAN FRANCISCO, CA

Past

June 7, 2002 - November 30, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MORGAN STANLEY

CRD#: 149777 / SEC#: 801-70103, 8-68191

RIA

Registered Investment Advisory firm - SEC (5/11/2009 Approved)

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

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

What does exam status mean?

State Security Law Exam

Series 66

Status Unavailable

Passed: 2/22/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Status Unavailable

Passed: 10/2/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 7/29/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Status Unavailable

Passed: 6/6/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MORGAN STANLEY

CRD#: 149777 / SEC#: 801-70103, 8-68191

RIA

Registered Investment Advisory firm - SEC (5/11/2009 Approved)

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

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Contact information

Main Address

2000 Westchester Avenue, Purchase, NY 10577-2530

Mailing Address

1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231

Phone number

(914) 225-1000

Established

Delaware since 02/02/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

29,481

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OUTSOURCED CHIEF INVESTMENT OFFICE (OCIO) (8/7/2026)

SELECT UMA PROGRAM BROCHURE (8/5/2026)

PORTFOLIO MANAGEMENT AND INSTITUTIONAL CASH ADVISORY PROGRAM BROCHURE (8/5/2026)

SEPARATE MANAGED ACCOUNT WRAP PROGRAM BROCHURE (8/5/2026)

GRAYSTONE CONSULTING PROGRAM BROCHURE (6/30/2026)

ALTERNATIVE INVESTMENTS WRAP PROGRAM BROCHURE (5/8/2026)

PRIVATE WEALTH MANAGEMENT CONSULTING SERVICES PROGRAM BROCHURE (3/30/2026)

INSTITUTIONAL SERVICES PROGRAM BROCHURE (3/30/2026)

SEPARATE MANAGED ACCOUNT COMMISSION-BASED PROGRAM BROCHURE (3/30/2026)

CONSULTING GROUP ADVISOR PROGRAM BROCHURE (3/30/2026)

MORGAN STANLEY CORE PORTFOLIOS (3/30/2026)

FINANCIAL PLANNING SERVICES PROGRAM BROCHURE (3/30/2026)

Direct owners and executive officers

Name	Position	CRD#
MORGAN STANLEY CAPITAL MANAGEMENT, LLC	MEMBER
CROWE, JOHN WILLIAM	CHIEF FINANCIAL OFFICER	5475007
FINN, JED	DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER	5658048
FLETCHER, PATRICIA KAY	TEXAS DESIGNATED PRINCIPAL	1202060
GALASSO, DAVID ANTHONY	PRINCIPAL OPERATIONS OFFICER	1926502
GIVENS, WILLIAM BENJAMIN	CHIEF COMPLIANCE OFFICER (BD ONLY)	2790454
HANSEN, TIMOTHY GERARD	CHIEF COMPLIANCE OFFICER (IA ONLY )	4956475
HENNESSY, MICHAEL S	DIRECTOR	1988660
JANOVER, JAMES TROY	DIRECTOR	2818307
TURNER, CHAD EDWARD	DIRECTOR	6009808

Regulatory assets under management

Total Number of Accounts	2,703,720
AUM (Assets Under Management)	$ 1,961,887,313,229

Disclosures

Regulatory Event	66
Arbitration	118

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/11/2026	Cover Page	Report
08/20/2025	Cover Page	Report
07/23/2024	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Siu C. Chan

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MORGAN STANLEY

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

UBS INTERNATIONAL INC.

UBS INTERNATIONAL INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

MORGAN STANLEY

State Registrations and Notice Filings

Exams

Series 66

Passed: 2/22/2008

Series 63

Passed: 10/2/2003

SIE

Passed: 10/1/2018

Series 7

Passed: 7/29/2003

Series 6

Passed: 6/6/2002

Current Firm

MORGAN STANLEY

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MORGAN STANLEY

TRUST BUT VERIFY

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