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David Lai

Morgan Stanley & Co. LLC

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About David Lai

David Lai is a financial professional with over 16 years of experience in the industry. David is currently registered with Morgan Stanley & Co. LLC. David holds the Series 99TO and the SIE licenses.

Firm Information

David Lai is currently registered with Morgan Stanley & Co. LLC. Morgan Stanley & Co. LLC is a Limited Liability Company formed on December 3, 1969. It is registered in 53 states and has one approved SEC registration. The firm has been involved in 471 Regulatory Events, 5 Civil Events, and 54 Arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

462

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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David Lai’s Registration & Firm History

NY

05/16/2023 - Present

Morgan Stanley & Co. LLC (New York NY)

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Licenses & Designations

BC

Issued 05/16/2023

SIE - Securities Industry Essentials Examination

BC

Issued 01/06/2023

Series 99TO - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 5 public disclosures for David Lai. Review regulatory record here.
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