Ray Au is a registered investment advisor at Morgan Stanley, based in Kirkland, WA, with 16 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Location
4000 Carillon Point, Suite 600, Kirkland, WA, 98033
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Ray is a co-owner of R and B International, LLC, selling non-media goods on e-commerce websites, dedicating about 10-20% of their time. Ray also works as a bank officer for HSBC Bank (USA) N.A., selling bank-related products and services, in conjunction with their role as a registered representative.
Employment History
Current Registrations
Morgan StanleyBroker
Morgan Stanley
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.Broker
J.P. Morgan Securities LLCBroker
J.P. Morgan Securities LLCBroker
Scottrade, INC.Broker
State Registrations16 states
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