John C Chu

CRD 2801391 · Morgan Stanley · New York, NY

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): Series 65Series 63Series 10Series 9Series 24Series 57TOSIESeries 55Series 7
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 30
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

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 (12)

From the source registration record · current first

Morgan StanleyCurrent
New York, NY · IA capacity

Aug 31, 2018 → present
Citigroup Global Markets Inc.
IA capacity

May 25, 2017 → Sep 19, 2018
Citigroup Global Markets Inc.
BD capacity

May 16, 2017 → Sep 19, 2018
Lpl Financial LLC
BD capacity

Aug 1, 2013 → May 16, 2017
Lpl Financial LLC
IA capacity

Aug 1, 2013 → May 16, 2017
Morgan Stanley Smith Barney LLC
IA capacity

May 4, 2010 → Feb 10, 2012
Morgan Stanley Smith Barney
BD capacity

Mar 31, 2010 → Feb 10, 2012
Morgan Stanley Smith Barney
BD capacity

Jun 1, 2009 → Oct 8, 2009
Citigroup Global Markets Inc.
BD capacity

Aug 24, 2005 → Jun 1, 2009
Worldco, L.L.C.
BD capacity

Jul 13, 2001 → Oct 22, 2003
Muriel Siebert & Co., Inc.
BD capacity

Feb 2, 1997 → Jul 9, 2001
Prime Charter Ltd.
BD capacity

Oct 18, 1996 → Jan 24, 1997

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2801391 ↗ FINRA BrokerCheck record for CRD 2801391 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.