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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

SOPHIA OH-NGUYEN

Advisor at MORGAN STANLEY

Newport Beach, CA

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Search this name across graphsid dfx:ria:2abc4de6-d015-85be-5ef0-9fcb884392b2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Nov 18, 2008 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: Nov 17, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Nov 17, 2008
First registration: Nov 18, 2008
Dual registered: yes, broker-dealer
Other names: SOPHIA OH
IAPD individual key: 5200391

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	Oct 30, 2024	n/a	yes	Newport Beach, CA	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Jun 11, 2024	Oct 18, 2024	no	IRVINE, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 23, 2020	Jun 4, 2024	no	Carlsbad, CA	Previous registration
WOODBURY FINANCIAL SERVICES, INC.	Former SEC adviser	Apr 1, 2020	Apr 21, 2020	no	CARLSBAD, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Sep 12, 2018	Mar 23, 2020	no	SAN DIEGO, CA	Previous registration
MORGAN STANLEY	Wirehouse	May 11, 2018	Sep 4, 2018	no	Carlsbad, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Nov 18, 2008	Jul 21, 2016	no	LA JOLLA, 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
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY	Oct 18, 2024	Oct 30, 2024	12	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Jun 4, 2024	Jun 11, 2024	7	Firm change	Wirehouse to wirehouse
WOODBURY FINANCIAL SERVICES, INC.	MORGAN STANLEY	Apr 21, 2020	Jun 23, 2020	63	Firm change	Ibd to wirehouse
WELLS FARGO ADVISORS	WOODBURY FINANCIAL SERVICES, INC.	Mar 23, 2020	Apr 1, 2020	9	Firm change	Wirehouse to ibd
MORGAN STANLEY	WELLS FARGO ADVISORS	Sep 4, 2018	Sep 12, 2018	8	Firm change	Wirehouse to wirehouse
WELLS FARGO ADVISORS	MORGAN STANLEY	Jul 21, 2016	May 11, 2018	659	Firm change after gap	Wirehouse to wirehouse

Team moves

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

Team	Left	Joined	From	Kind
8174:149777:CA:2024-10-18	Oct 18, 2024	Oct 30, 2024	IRVINE, CA	Firm change
149777:19616:CA:2018-08-24	Sep 4, 2018	Sep 12, 2018	CARLSBAD, CA	Firm change
19616:149777:CA:2016-07-12	Jul 21, 2016	May 11, 2018	LA JOLLA, CA	Firm change after gap

Relationships

Registered with (4)

→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 23, 2020 to Jun 4, 2024factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jun 11, 2024 to Oct 18, 2024factForm ADV
→ WOODBURY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Apr 1, 2020 to Apr 21, 2020factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Sep 12, 2018 to Mar 23, 2020factForm ADV

Dated events

Occurred
Oct 18, 2024
Advisor changed firm
Sophia Oh-Nguyen left Ubs Financial Services Inc. for Morgan Stanley (registered 2024-10-30)
Form ADVobserved 5 days ago
Occurred
Jun 4, 2024
Advisor changed firm
Sophia Oh-Nguyen left Morgan Stanley for Ubs Financial Services Inc. (registered 2024-06-11)
Form ADVobserved 5 days ago