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MQ

Melissa Qian

MORGAN STANLEY & CO.
New York, NY 10036
Some features on this profile are disabled
CRD#: 5768639
MQ

Professional summary

Melissa Qian, who also goes by Melissa Chu, is a registered financial professional currently at MORGAN STANLEY & CO. LLC located in New York, New York.

Melissa is registered as a RR (Registered Representative) and started their career in finance in 2010. Melissa has worked at 5 firms and has passed the Series 63, SIE, Series 79, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Melissa Chu

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 Melissa Qian'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

July 3, 2018 - Present

MORGAN STANLEY & CO. LLC

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

August 13, 2016 - June 15, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

November 8, 2012 - April 2, 2014

PROFUNDS DISTRIBUTORS, INC.

BD
CRD#: 19541
NEW YORK, NY
Past

February 10, 2011 - July 24, 2012

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

May 3, 2010 - November 19, 2010

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(7/3/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 8/17/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/13/2016
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 5/3/2011
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 4/14/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/22/2024
General Securities Principal 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)
PREMIUM
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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
KRAUSE, GARD JCHIEF COMPLIANCE OFFICER2284628
LYNN, GARY MICHAELPRINCIPAL FINANCIAL OFFICER2162411
MACEJKA, PATRICK NMNDIRECTOR2139145
MORANO, DAVIDPRINCIPAL OPERATIONS OFFICER2189287
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

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