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Vincent Woo
44 Years of Experience
Rolling Hills Estates, CA
6 DisclosuresBroker
Vincent Woo is a registered investment advisor at Morgan Stanley, based in Rolling Hills Estates, CA, with 44 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
609 Deep Valley Drive, Suite 400, Rolling Hills Estates, CA, 90274
Get directionsHistory
Regulatory History (6)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2012Settled
Customer Dispute
November 2010Settled
Customer Dispute
May 2010Settled
Customer Dispute
March 2010Settled
Customer Dispute
March 2009Award / Judgment
Customer Dispute
July 2001Settled
Employment History
Current Registrations
Morgan StanleyBroker
March 2025 - Present · 1 yr 2 mos
Morgan Stanley
March 2025 - Present · 1 yr 2 mos
Previous Registrations
RBC Capital Markets, LLC
April 2011 - April 2025 · 14 yrs
RBC Capital Markets, LLCBroker
April 2011 - April 2025 · 14 yrs
Oppenheimer & CO. INC.Broker
July 2004 - April 2011 · 6 yrs 9 mos
Oppenheimer & CO. INC.
July 2004 - April 2011 · 6 yrs 9 mos
Citigroup Global Markets INC.
July 1997 - July 2004 · 7 yrs
Citigroup Global Markets INC.Broker
October 1994 - July 2004 · 9 yrs 9 mos
Kidder, Peabody & CO. IncorporatedBroker
November 1981 - November 1994 · 13 yrs
State Registrations37 states
AKALARAZCACOCTDEFLGAHIIDILINLAMAMDMIMNMSNCNHNJNVNYOHOKORPAPRRITNTXUTVAWAWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.