Stephen Lo is a CFP-designated registered investment advisor at Morgan Stanley, based in San Mateo, CA, with 32 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
411 Borel Avenue, Suite 220, San Mateo, CA, 94402
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Morgan StanleyBroker
October 2025 - Present · 7 mos
Morgan Stanley
October 2025 - Present · 7 mos
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
January 2011 - November 2025 · 14 yrs 10 mos
Wells Fargo Advisors
January 2011 - November 2025 · 14 yrs 10 mos
Wells Fargo Investments, LLC
August 2008 - January 2011 · 2 yrs 5 mos
Wells Fargo Investments, LLCBroker
August 2008 - January 2011 · 2 yrs 5 mos
Wamu Investments, INC.
June 2007 - August 2008 · 1 yr 2 mos
Wamu Investments, INC.Broker
February 2006 - August 2008 · 2 yrs 6 mos
Merrill Lynch Pierce Fenner & Smith INC.
March 2004 - February 2006 · 1 yr 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2004 - February 2006 · 1 yr 11 mos
Charles Schwab & CO., INC.
February 1999 - February 2004 · 5 yrs
Charles Schwab & CO., INC.Broker
June 1998 - February 2004 · 5 yrs 8 mos
Great Western Financial Securities CorporationBroker
September 1996 - March 1998 · 1 yr 6 mos
Citicorp Investment ServicesBroker
December 1995 - August 1996 · 8 mos
Asb Financial ServicesBroker
June 1995 - December 1995 · 6 mos
Great Western Financial Securities CorporationBroker
December 1993 - June 1995 · 1 yr 6 mos
Paulson Investment Company, INC.Broker
October 1991 - May 1992 · 7 mos
State Registrations11 states
AZCACODEFLNENVNYPATNTX
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.