Chris Ngoy is a registered investment advisor at Morgan Stanley, based in Irvine, CA, with 29 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
1901 Main Street, Suite 700, Irvine, CA, 92614
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Regulatory History (4)
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Customer Dispute
May 2013Settled
Customer Dispute
April 2013Settled
Customer Dispute
May 2011Denied
Customer Dispute
February 2003Denied
Employment History
Current Registrations
Morgan Stanley
April 2023 - Present · 3 yrs 1 mo
Morgan StanleyBroker
April 2023 - Present · 3 yrs 1 mo
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
January 2011 - May 2023 · 12 yrs 4 mos
Wells Fargo Clearing Services, LLC
January 2011 - May 2023 · 12 yrs 4 mos
Wells Fargo Investments, LLCBroker
March 2007 - January 2011 · 3 yrs 10 mos
Wells Fargo Investments, LLC
March 2007 - January 2011 · 3 yrs 10 mos
Wm Financial Services, INC.
August 2002 - March 2007 · 4 yrs 7 mos
Wm Financial Services, INC.Broker
August 2002 - March 2007 · 4 yrs 7 mos
Wells Fargo Investments, LLCBroker
May 2001 - August 2002 · 1 yr 3 mos
Wells Fargo Investments, LLC
September 1999 - August 2002 · 2 yrs 11 mos
Wells Fargo Securities INC.Broker
August 1999 - May 2001 · 1 yr 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 1998 - August 1999 · 8 mos
Cal Fed InvestmentsBroker
November 1998 - June 1999 · 7 mos
Glenfed Brokerage ServicesBroker
March 1998 - November 1998 · 8 mos
Mony Securities CORP.Broker
October 1996 - January 1998 · 1 yr 3 mos
State Registrations29 states
AZCACOCTDCDEFLGAHIIDILKYMAMDMONCNJNVNYOHORPASDTNTXUTVAWAWV
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.