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Raymond Ku

Morgan Stanley

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About Raymond Ku

Raymond Ku is an active financial advisor registered with FINRA and the Securities Industry and Financial Markets Association (SIFMA). Ku is a Series 99 and SIE licensed professional with over 10 years of experience in the financial services industry. Ku has previously worked with E*TRADE SECURITIES LLC, MORGAN STANLEY & CO. LLC and BARCLAYS CAPITAL INC. Currently, Ku is employed at Morgan Stanley and is licensed to offer financial services in New York.

Firm Information

Raymond Ku 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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Raymond Ku’s Registration & Firm History

NY

12/24/2013 - Present

Morgan Stanley (PURCHASE NY)

NY

08/09/2022 - 02/13/2024

E*TRADE SECURITIES LLC (New York NY)

NY

12/24/2013 - 06/06/2023

MORGAN STANLEY & CO. LLC (New York NY)

NY

10/16/2012 - 12/12/2013

BARCLAYS CAPITAL INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/15/2012

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Raymond Ku.
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