Last Updated: November 2025 — Pasadena, CA
Here’s what you need to know about Pasadena, CA stockbroker Katy Y. Zhao:
- Name: Katy Yun Zhao
- Current Employer: Morgan Stanley (CRD #149777); branch listed at 55 S. Lake Ave., Pasadena Towers – Tower II, Suite 700, Pasadena, CA 91101; registered with the firm since 12/23/2016 (broker) and 11/03/2009 (IA rep).
- Prior Firms: None reported.
- CRD number: 5264406.
- Stockbroker / Financial Advisor: Yes — currently registered with 4 SROs; licensed in 30 U.S. states/territories; passed SIE, Series 7, 63, 65; also Series 79 and Research Analyst exams (Series 86/87).
- Can Broker be Sued in FINRA: Yes
- Highest Award or Settlement: $156,637
If you’ve sustained damages from Ms. Zhao, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Katy Zhao As Your Stockbroker?
A complaint filed by a customer of Morgan Stanley alleged that instructions to transfer account positions in-kind were not followed resulting in damages. The matter was settled for $156,637 in 2/2025.
Allegations of Broker Misconduct Against Katy Yun Zhao
- Failure to follow client instructions
- Other business activities: Real-estate rental/management and a one-time modeling engagement as noted above.
Recover Your Investment Losses Now With Rex Securities Law
Investigations of Other Morgan Stanley Brokers
If you have suffered investment losses in an account handled by Katy Yun Zhao, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
Firms We Have Pursued On Behalf of Our Clients
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.