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Warner Zhiquan Lai

Morgan Stanley & Co. LLC

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About Warner Zhiquan Lai

Warner Zhiquan Lai is a financial advisor with Morgan Stanley & Co. LLC. Warner has been in the financial services industry since June 1, 2016. Warner is registered in Maryland and holds the following licenses: Series 66, Series 63, Series 10, Series 9, SIE, and Series 7. Warner was previously employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated.

Firm Information

Warner 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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Warner Lai’s Registration & Firm History

NY

09/08/2022 - Present

Morgan Stanley & Co. LLC (NEW YORK NY)

MD

04/12/2016 - 07/18/2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HUNT VALLEY MD)

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Licenses & Designations

BOTH

Issued 12/29/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/23/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/01/2017

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 03/20/2017

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/12/2016

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Warner Zhiquan Lai.
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