Aaron Liu: Investor Complaint Against Morgan Stanley Advisor

Pasadena, California financial advisor Aaron Liu (CRD# 6085987) allegedly misrepresented an investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.

Mr. Liu’s BrokerCheck report discloses one investor complaint. Filed in May 2025, it alleges that as a representative of Morgan Stanley, he made misrepresentations regarding the investment strategy implemented in the customer’s account. The pending complaint alleges unspecified damages.

Morgan Stanley’s website includes a profile of Mr. Liu that describes him as the Director of Investments for a team led by firm representative Katy Zhao. “While believing company fundamentals are the bedrock for driving investments in the long run, he also integrates macroeconomic signaling and quantitative methodologies to gain tactical advantages in active portfolio management,” it explains. “Having extensive experience in different asset classes (stocks, bonds, FX, commodities, options, futures), Aaron provides a full customized experience to suit clients’ investing needs and time horizons.”

According to the Financial Industry Regulatory Authority, Aaron Liu holds four years of securities industry experience. Based in Pasadena, California, he has been registered as a broker and an investment advisor with Morgan Stanley since 2022. He was previously registered with Quad Capital in New York City from 2012 until 2013. His credentials include the passage of four securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; the General Securities Representative Examination, or Series 7TO; and the Uniform Combined State Law Examination, or Series 66. He holds 31 state licenses. (Information current as of June 8, 2025.)

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