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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

Alice Lee Chen

Advisor at MORGAN STANLEY

Palo Alto, CA | SAN MATEO, CA

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Search this name across graphsid dfx:ria:2409d2a6-37a0-62d1-38df-a414d87783ea

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Nov 24, 2006 to Sep 15, 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: Jan 8, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Jan 8, 1999
First registration: Nov 24, 2006
Dual registered: yes, broker-dealer
Other names: ALICE LEE|ALICE HUE NGHI LEE|ALICE HUENGHI LEE|ALICE H LEE|ALICE LEE CHEN|ALICE L CHEN|ALICE HUE LEE|Alice Chen
IAPD individual key: 2919316

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	Mar 30, 2023	n/a	yes	Palo Alto, CA\|SAN MATEO, CA	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 17, 2019	Mar 22, 2023	no	SAN FRANCISCO, CA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	May 23, 2018	Jul 3, 2019	no	CUPERTINO, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 23, 2014	May 21, 2018	no	SAN FRANCISCO, CA	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Nov 24, 2006	Jun 16, 2014	no	SANTA CLARA, CA\|E PALO ALTO, CA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Nov 24, 2006	Jun 16, 2014	no	Menlo Park, 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, 2023	Mar 30, 2023	8	Firm change	Wirehouse to wirehouse
J.P. MORGAN SECURITIES LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 3, 2019	Jul 17, 2019	14	Firm change	Wirehouse to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	J.P. MORGAN SECURITIES LLC	May 21, 2018	May 23, 2018	2	Firm change	Wirehouse to wirehouse
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Jun 16, 2014	Nov 24, 2006	-2,761	Channel change	Other
TD AMERITRADE, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 16, 2014	Jun 23, 2014	7	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
79:7691:CA:2019-06-04	Jul 3, 2019	Jul 17, 2019	CUPERTINO, CA	Firm change
7691:79:CA:2018-05-16	May 21, 2018	May 23, 2018	SAN FRANCISCO, CA	Firm change

Relationships

Registered with (5)

→ MORGAN STANLEYRegistered adviserregistration: current employment
Mar 30, 2023 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 17, 2019 to Mar 22, 2023factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
May 23, 2018 to Jul 3, 2019factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 24, 2006 to Jun 16, 2014factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Nov 24, 2006 to Jun 16, 2014factForm ADV

Dated events

Occurred
Mar 22, 2023
Advisor changed firm
Alice Lee Chen left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Morgan Stanley (registered 2023-03-30)
Form ADVobserved 4 days ago