My Story and Services

During my 12 years in financial industry, I spent 5 years in corporate banking and 7 years in managing investments. Over the years, I have developed a deep passion for helping my clients define and achieve financial goals via comprehensive tailored investment strategies. Having worked in Asia and in the US, my international practice focuses on helping high net worth clientele globally to plan for their retirement needs, advising clients with investment options, risk management, tax and estate planning strategies in order to help pass wealth from one generation to the next. I am fluent in Mandarin, Taiwanese and English; and travel globally to meet with clients and prospects. I generally work with clients who are seeking for advisors to help them review both the asset and liability side of their balance sheet.

After completing my undergraduate degree at USC, I pursued my MBA at Claremont Graduate University. Currently, I live in Los Angeles, California with my husband. During my free time, I enjoy horseback riding, tennis, yoga. Traveling is also of particular interest to me as I enjoy experiencing local cultures during my travels.
Services Include
  • Wealth Management1
  • 401(k) Rollovers
  • 529 Plans2
  • Alternative Investments3
  • Annuities4
  • Asset Management5
  • Cash Management6
  • Estate Planning Strategies7
  • Financial Planning8
  • Lending Products
  • Life Insurance9
  • Long Term Care Insurance10
  • Qualified Retirement Plans11
Securities Agent: TX, CA, NY, NV, NC, ME; Managed Futures; General Securities Representative; Investment Advisor Representative
NMLS#: 1312535
CA Insurance License #: 0F68920
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*

process

An Established, Holistic Investment Process


We Utilize an Institutional, Multi-Factor Approach to Building Tailored Portfolios














Investment policy setting;
benchmark analysis; establish
time horizon & constraints;
determine approach













Reporting & monitoring;
performance analysis
& attribution


















Strategic and tactical
allocation advice















Manager selection & weightings
to seek to optimize risk-reward
profile; blend active and passive
managers to optimize fees;
rebalancing

    gps

    Goals Planning System

    Life is big. Let's plan for it.



    Our Goals Planning System (GPS) is an innovative platform that aligns your investments with your goals.


    1. Discover and quantify your goals    


    2. Advise on an investment process to meet your needs


    3. Implement a tax-efficient approach


    4. Periodically track progress

    In a world that constantly changes, you need a tailored wealth plan that can evolve with you. We are here to bring clarity and focus on what matters most to you.


    We first work with you to determine your goals and outline your financial portrait, and then advise you on a plan customized to your specific goals. We then periodically track your progress as you move through life, helping you adjust when necessary.

      client centric approach

      Manage Your Financial Life & Beyond 


      Reaching your goals often involves going beyond investment advice—we provide a wide array of offerings and services centered on you and customized to help meet your needs, and provide access to specialists to help pursue specific goals.

        Location

        55 South Lake Ave
        Ste 700
        Pasadena, CA 91101
        US
        Direct:
        (626) 304-2488(626) 304-2488
        Toll-Free:
        (800) 362-6992(800) 362-6992
        Fax:
        (626) 449-7121(626) 449-7121

        Investment and Market Perspectives

        On the Markets

        Retirement

        Working with you to understand your life goals and develop a personalized wealth strategy. Today and for the years to come.
        • 401(k) Rollovers
        • IRA Plans
        • Retirement Income Strategies
        • Retirement Plan Participants
        • Annuities
        The Simple Six-Step Retirement Checkup

        The Simple Six-Step Retirement Checkup

        Given market volatility in 2018, checking in on your retirement plan may be one of the wisest New Year’s resolutions you can make.

        Investing

        Working closely with you to guide your wealth and investments through the most challenging market cycles.
        • Asset Management
        • Wealth Planning
        • Traditional Investments
        • Alternative Investments
        • Impact Investing
        Investing in Artificial Intelligence and Automation

        Investing in Artificial Intelligence and Automation

        AI is an exciting growth area, but the investing opportunities are not always obvious. Here’s how to integrate this theme into your portfolio.

        Family

        Creating customized financial strategies for the challenges that today's families face.
        • Estate Planning Strategies
        • 529 Plans / Education Savings Planning
        • Long Term Care Insurance
        • Special Needs Planning
        • Trust Services
        Thinking About Your Legacy? Why You May Need a Trust

        Thinking About Your Legacy? Why You May Need a Trust

        You can’t take it with you, but through a trust, you can define how you want your life’s work and wealth to continue to benefit the people and causes you love and care for.

        Business Planning

        Helping you on key aspects of your business such as ownership, liquidity and developing opportunities.
        • Succession Planning
        • Business Planning
        • Retirement Plan Sponsors
        • Qualified Retirement Plans
        • Corporate Pension Funds
        6 Keys to Building a Startup

        6 Keys to Building a Startup

        Entrepreneurs share ideas and learnings from the experience of starting a company.

        Philanthropy

        Making sure your philanthropic dollars are managed with the same high quality service as the rest of your wealth.
        • Endowments
        • Foundations
        • Donor Advised Funds
        • Impact Investing
        Choosing an Environmental Charity

        Choosing an Environmental Charity

        There are a multitude of non-profits dedicated to helping protect the environment. Here’s how to choose where you want to give.

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        Morgan Stanley and Justin Rose: A Winning Team

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        Sign Up for eDelivery

        Sign Up for eDelivery

        With eDelivery, you’ll have easy access to statements, trade confirmations, general correspondence and much more.
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        Reserved | Living & Giving

        Reserved | Living & Giving

        Our complimentary program for eligible clients provides you and your family with access to exclusive offers and discounts from premium travel, automotive, health and wellness, and retail brands as well as curated insights from Morgan Stanley.
        Learn more about Reserved | Living & Giving
        Your Financial World. On the Go.

        Your Financial World. On the Go.

        With the Morgan Stanley Mobile App, you’ll have the freedom to manage your investments and instantly access a suite of personal cash management tools.
        Learn more about Your Financial World. On the Go.
        Access Morgan Stanley Online

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        Morgan Stanley Online provides a comprehensive view of your assets and liabilities, projected income, breaking news, research and much more.
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        Ready to start a conversation? Contact Anny Shen today.
        Market Information Delayed 20 Minutes
        1Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.

        2Investors should consider many factors before deciding which 529 plan is appropriate. Some of these factors include: the Plan’s investment options and the historical investment performance of these options, the Plan’s flexibility and features, the reputation and expertise of the Plan’s investment manager, Plan contribution limits and the federal and state tax benefits associated with an investment in the Plan. Some states, for example, offer favorable tax treatment and other benefits to their residents only if they invest in the state’s own Qualified Tuition Program. Investors should determine their home state’s tax treatment of 529 plans when considering whether to choose an in-state or out-of-state plan. Investors should consult with their tax or legal advisor before investing in any 529 Plan or contact their state tax division for more information. Morgan Stanley Smith Barney LLC does not provide tax and/or legal advice. Investors should review a Program Disclosure Statement, which contains more information on investment options, risk factors, fees and expenses and possible tax consequences.

        3Alternative Investments are speculative and include a high degree of risk. An investor could lose all or a substantial amount of his/her investment. Alternative investments are suitable only for qualified, long-term investors who are willing to forgo liquidity and put capital at risk for an indefinite period of time.

        4Annuities are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.

        5Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.

        6Morgan Stanley Smith Barney LLC is a registered Broker/Dealer, Member SIPC, and not a bank. Where appropriate, Morgan Stanley Smith Barney LLC has entered into arrangements with banks and other third parties to assist in offering certain banking related products and services.

        Investment, insurance and annuity products offered through Morgan Stanley Smith Barney LLC are: NOT FDIC INSURED | MAY LOSE VALUE | NOT BANK GUARANTEED | NOT A BANK DEPOSIT | NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY

        7Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.

        8Morgan Stanley offers a wide array of brokerage and advisory services to its clients, each of which may create a different type of relationship with different obligations to you. Please consult with your Financial Advisor to understand these differences.

        9Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.

        10Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.

        11Tax laws are complex and subject to change. Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice and are not “fiduciaries” (under ERISA, the Internal Revenue Code or otherwise) with respect to the services or activities described herein except as otherwise provided in writing by Morgan Stanley and/or as described at www.morganstanley.com/disclosures/dol . Individuals are encouraged to consult their tax and legal advisors (a) before establishing a retirement plan or account, and (b) regarding any potential tax, ERISA and related consequences of any investments made under such plan or account.

        The information, products and services described here are intended only for individuals residing in states where this Financial Advisor is properly registered as described in this site.

        Morgan Stanley reserves the right, to the extent permitted under applicable law, to retain and monitor all electronic communications. Morgan Stanley will not accept purchase or sale orders via any Internet site, social media site and/or its messaging systems. Morgan Stanley does not endorse and is not responsible and assumes no liability for content, products or services posted by third-parties on any Internet site, social media site and/or its messaging systems. All electronic communications are subject to terms available at the following link: https://www.morganstanley.com/disclaimers/mswm-email.html. Any profiles and associated content are for U.S. residents only.

        The securities/instruments, services, investments and investment strategies discussed in this material may not be suitable for all investors. The appropriateness of a particular investment, investment strategy or service will depend on an investor's individual circumstances and objectives. Morgan Stanley Smith Barney LLC recommends that investors independently evaluate particular investments, strategies and services, and encourages investors to seek the advice of a Financial Advisor or Private Wealth Advisor. This material does not provide individually tailored investment advice. It has been prepared without regard to the individual financial circumstances and objectives of persons who receive it.

        Morgan Stanley Smith Barney LLC (“Morgan Stanley”) is not implying an affiliation, sponsorship, endorsement with/of the third party or that any monitoring is being done by Morgan Stanley of any information contained within the website. Morgan Stanley is not responsible for the information contained on the third party website or the use of or inability to use such site. Nor do we guarantee their accuracy or completeness.

        The views, opinions or advice contained within third party websites or materials are solely those of the author, who is not a Morgan Stanley employee, and do not necessarily reflect those of Morgan Stanley Smith Barney LLC, or its affiliates. The strategies and/or investments referenced may not be appropriate for all investors as the appropriateness of a particular investment or strategy will depend on an investor's individual circumstances and objectives.

        *References to length of service at Morgan Stanley include years at Morgan Stanley and predecessor firms.


        CRC 2019752 10/2018