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Hsiao-Yun Yang

Morgan Stanley
23 Years of Experience
Palo Alto, CA
1 DisclosureBroker
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Hsiao-Yun Yang is a CFP-designated registered investment advisor at Morgan Stanley, based in Palo Alto, CA, with 23 years of industry experience. Hsiao-Yun is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, High Net Worth, Investment Management, Retirement Planning. Their firm serves 2,703,720 clients with $2000B in assets under management.

Morgan Stanley
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23172 advisors
Number of Clients
2,703,720 clients
Average Client Portfolio
$726K average
Assets Under Management
$1961.9B

Fee Structure

Investment management only (planning not offered)

Morgan Stanley Smith Barney LLC charges a fee for its consulting services, which is generally payable quarterly in advance. The maximum fee for the services is $500,000, and fees are negotiable between the client and their private wealth advisor.

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Location

1400 Page Mill Road, Palo Alto, CA, 94304

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History

Regulatory History (1)
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
November 2014
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Hsiao-Yun owns rental properties in Seattle and San Jose since 2021. These activities are investment-related and involve property management, taking minimal time during business hours.

Employment History
Current Registrations
Morgan StanleyBroker
January 2021 - Present · 5 yrs 9 mos
Morgan Stanley
January 2021 - Present · 5 yrs 9 mos
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
January 2011 - January 2021 · 10 yrs
Wells Fargo Clearing Services, LLC
January 2011 - January 2021 · 10 yrs
Wells Fargo Investments, LLC
April 2009 - January 2011 · 1 yr 9 mos
Wells Fargo Investments, LLCBroker
April 2009 - January 2011 · 1 yr 9 mos
Citigroup Global Markets INC.Broker
May 2007 - April 2009 · 1 yr 11 mos
Citigroup Global Markets INC.
May 2007 - April 2009 · 1 yr 11 mos
Citicorp Investment ServicesBroker
December 2006 - May 2007 · 5 mos
Citicorp Investment Services
December 2006 - May 2007 · 5 mos
UBS Financial Services INC.Broker
October 2006 - December 2006 · 2 mos
UBS Financial Services INC.
October 2006 - December 2006 · 2 mos
Citicorp Investment Services
June 2004 - October 2006 · 2 yrs 4 mos
Citicorp Investment ServicesBroker
July 2003 - October 2006 · 3 yrs 3 mos
American Express Financial Advisors, INC.
January 2003 - June 2003 · 5 mos
American Express Financial Advisors INC.Broker
January 2003 - June 2003 · 5 mos
Ids Life Insurance CompanyBroker
January 2003 - June 2003 · 5 mos
State Registrations23 states
AZCACODEFLGAIAKSMDMNMONCNENVNYOHORSCSDTXUTVAWA
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.
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