ZX
Zhicheng Xiong
MORGAN STANLEY & CO. LLC
New York, NY 10036
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CRD#: 7414346
ZX
Professional summary
Zhicheng Xiong, who also goes by VIctoria XIong, is a registered financial professional currently at MORGAN STANLEY & CO. LLC located in New York, New York.
Zhicheng is registered as a RR (Registered Representative) and started their career in finance in 2023. Zhicheng has worked at 2 firms and has passed the Series 63, Series 87, Series 86 and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Victoria Xiong
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.
CRS (Client Relationship Summary) - BD
Click below to view Zhicheng Xiong's 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®
NoneExperience
Current
January 17, 2024 - Present
MORGAN STANLEY & CO. LLC
Office #1: 1585 Broadway, New York, NY 10036BD
CRD#: 8209
New York, NY
Past
June 16, 2023 - November 1, 2023
ROTH CAPITAL PARTNERS, LLC
BD
CRD#: 15407
NEWPORT BEACH, 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
Alabama(1/17/2024)
RR
Alaska(1/17/2024)
RR
Arizona(1/17/2024)
RR
Arkansas(1/17/2024)
RR
California(1/17/2024)
RR
Colorado(1/17/2024)
RR
Connecticut(1/17/2024)
RR
Delaware(1/17/2024)
RR
District of Columbia(1/17/2024)
RR
Florida(1/17/2024)
RR
Georgia(1/17/2024)
RR
Hawaii(1/17/2024)
RR
Idaho(1/17/2024)
RR
Illinois(1/17/2024)
RR
Indiana(1/17/2024)
RR
Iowa(1/17/2024)
RR
Kansas(1/17/2024)
RR
Kentucky(1/17/2024)
RR
Louisiana(1/17/2024)
RR
Maine(1/17/2024)
RR
Maryland(1/17/2024)
RR
Massachusetts(1/17/2024)
RR
Michigan(1/17/2024)
RR
Minnesota(1/17/2024)
RR
Mississippi(1/17/2024)
RR
Missouri(1/17/2024)
RR
Montana(1/17/2024)
RR
Nebraska(1/17/2024)
RR
Nevada(1/17/2024)
RR
New Hampshire(1/17/2024)
RR
New Jersey(1/17/2024)
RR
New Mexico(1/17/2024)
RR
New York(1/17/2024)
RR
North Carolina(1/17/2024)
RR
North Dakota(1/17/2024)
RR
Ohio(1/17/2024)
RR
Oklahoma(1/17/2024)
RR
Oregon(1/17/2024)
RR
Pennsylvania(1/17/2024)
RR
Puerto Rico(1/17/2024)
RR
Rhode Island(1/17/2024)
RR
South Carolina(1/17/2024)
RR
South Dakota(1/17/2024)
RR
Tennessee(1/17/2024)
RR
Texas(1/17/2024)
RR
Utah(1/17/2024)
RR
Vermont(1/17/2024)
RR
Virgin Islands(1/17/2024)
RR
Virginia(1/17/2024)
RR
Washington(1/17/2024)
RR
West Virginia(1/17/2024)
RR
Wisconsin(1/17/2024)
RR
Wyoming(1/17/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange
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)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| HIRSHORN, WILLIAM DAVID | PRINCIPAL OPERATIONS OFFICER | 1564223 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
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.
