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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

JIA HE

Advisor at MORGAN STANLEY

Menlo Park, CA

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Search this name across graphsid dfx:ria:2343146e-f8f5-7d51-9a8a-39f53a4e1ae8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 19, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MORGAN STANLEY
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 16, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Mar 16, 2007
First registration: Mar 19, 2007
Dual registered: yes, broker-dealer
IAPD individual key: 5194168

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MORGAN STANLEY	Wirehouse	Dec 15, 2014	n/a	yes	Menlo Park, CA	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 7, 2011	Mar 22, 2013	no	FREMONT, CA\|MILPITAS, CA\|SAN JOSE, CA\|MILPITAS, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Jul 14, 2009	Jun 18, 2010	no	SAN FRANCISCO, CA\|PALO ALTO, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 19, 2007	Jan 29, 2009	no	SACRAMENTO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY	Mar 22, 2013	Dec 15, 2014	633	Firm change after gap	Wirehouse to wirehouse
WELLS FARGO INVESTMENTS, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 18, 2010	Oct 7, 2011	476	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO INVESTMENTS, LLC	Jan 29, 2009	Jul 14, 2009	166	Firm change	Other

Relationships

Registered with (3)

→ MORGAN STANLEYRegistered adviserregistration: current employment
Dec 15, 2014 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 7, 2011 to Mar 22, 2013factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Jul 14, 2009 to Jun 18, 2010factForm ADV

Dated events

No dated event names this entity yet.