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WS

Woo Sik Shin

MORGAN STANLEY & CO.
Menlo Park, CA 94025
Some features on this profile are disabled
CRD#: 6352343
WS

Professional summary

Woo Sik Shin, who also goes by Frank Shin, Woo Sik Shin, Francis Woo, is a registered financial professional currently at MORGAN STANLEY & CO. LLC located in Menlo Park, California.

Woo Sik is registered as a RR (Registered Representative) and started their career in finance in 2015. Woo Sik has worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 79 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Frank Shin | Woo Sik Shin | Francis Woo

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 Woo Sik Shin'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

June 18, 2024 - Present

MORGAN STANLEY & CO. LLC

Office #1: 2725 Sand Hill Road, Building C, Suite 200, Menlo Park, CA 94025
BD
CRD#: 8209
Menlo Park, CA
Past

November 14, 2022 - June 10, 2024

QATALYST PARTNERS LP

BD
CRD#: 147251
SAN FRANCISCO, CA
Past

August 3, 2015 - August 25, 2017

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
MENLO PARK, CA

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
California
(6/18/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/8/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 11/12/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/5/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/3/2015
Investment Banking Registered Representative 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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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

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Company Information

MORGAN STANLEY & CO. LLC

CRD#: 8209Menlo Park, CA 94025

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