Vincent Woo

CRD 1014737 · Morgan Stanley · Rolling Hills Estates, CA

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 65Series 63Series 10Series 9SIESeries 3Series 7
Registered states (37): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Louisiana · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Nevada · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · Tennessee · Texas · Utah · Virginia · Washington · Wisconsin
Years in the industry (source record): 45
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1014737 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Morgan Stanley
Firm CRD: 149777
SEC number: 801-70103
Assets under management: $2.0T as of Jun 30, 2026
Website: www.morganstanley.com ↗
Phone: 914-225-5510
Firm location: Purchase, NY, 10577-2530

Employment history (8)

From the source registration record · current first

Morgan StanleyCurrent
Rolling Hills Estates, CA · IA capacity

Mar 28, 2025 → present
Rbc Capital Markets, LLC
BD capacity

Apr 4, 2011 → Apr 14, 2025
Rbc Capital Markets, LLC
IA capacity

Apr 4, 2011 → Apr 14, 2025
Oppenheimer & Co. Inc.
BD capacity

Jul 14, 2004 → Apr 15, 2011
Oppenheimer & Co. Inc.
IA capacity

Jul 14, 2004 → Apr 15, 2011
Citigroup Global Markets Inc.
IA capacity

Jul 8, 1997 → Jul 20, 2004
Citigroup Global Markets Inc.
BD capacity

Oct 31, 1994 → Jul 20, 2004
Kidder, Peabody & Co. Incorporated
BD capacity

Nov 15, 1981 → Nov 3, 1994

Source & corrections

Where this page comes from

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