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Kom Chris Ngoy

Morgan Stanley

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About Kom Chris Ngoy

Kom Ngoy is a financial advisor with Morgan Stanley. Kom has been working in the financial services industry since 1996. Kom has experience working at several firms including Wells Fargo Clearing Services, LLC, Wells Fargo Investments, LLC, and WM Financial Services, Inc. Kom is currently registered with the Financial Industry Regulatory Authority (FINRA) as a registered representative and is licensed in numerous states. Kom is also registered as an investment advisor representative in California and Texas.

Firm Information

Kom Ngoy is currently registered with Morgan Stanley. Morgan Stanley is a Limited Liability Company based in PURCHASE, NY, formed in 2009. They offer a wide range of advisory services, including financial planning, pension consulting, educational seminars, and selection of other advisors. Their client base includes individuals, high-net-worth individuals, investment clubs, corporations, insurance companies, investment companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. Morgan Stanley manages approximately $10 billion to $50 billion in assets. Their website addresses are HTTP://WWW.MORGANSTANLEYCLIENTSERV.COM and HTTP://WWW.MORGANSTANLEY.COM.
Morgan Stanley

2000 WESTCHESTER AVENUE

PURCHASE, NY 10577-2530

$1.40T

Assets Under Management

335,385

Total Clients

23,624

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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asset allocation advice

Asset allocation advice

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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other

See schedule d miscellaneous

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Kom Ngoy’s Registration & Firm History

CA

05/01/2023 - Present

Morgan Stanley (Irvine CA)

CA

01/03/2011 - 05/10/2023

WELLS FARGO CLEARING SERVICES, LLC (FOUNTAIN VALLEY CA)

CA

03/21/2007 - 01/03/2011

WELLS FARGO INVESTMENTS, LLC (COSTA MESA CA)

CA

08/13/2002 - 03/19/2007

WM FINANCIAL SERVICES, INC. (FULLERTON CA)

CA

05/02/2001 - 08/21/2002

WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)

CA

08/17/1999 - 05/02/2001

WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)

NY

12/17/1998 - 08/27/1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

CA

11/14/1998 - 06/16/1999

CAL FED INVESTMENTS (SACRAMENTO CA)

CA

03/12/1998 - 11/14/1998

GLENFED BROKERAGE SERVICES (GLENDALE CA)

NY

10/03/1996 - 01/14/1998

MONY SECURITIES CORP. (NEW YORK NY)

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Licenses & Designations

IA

Issued 07/20/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/10/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/15/1998

Series 7 - General Securities Representative Examination

BC

Issued 10/02/1996

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are 4 public disclosures for Kom Chris Ngoy. Review regulatory record here.
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