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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Thomas Nicolaus is a financial advisor with Morgan Stanley. John has been in the financial industry since 1993 and has experience with a range of financial products and services. John has held previous positions at CUSO FINANCIAL SERVICES, L.P., CUNA BROKERAGE SERVICES, INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. John is registered with the state of Oregon and is an active member of the financial industry.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
OR
05/26/2020 - Present
Morgan Stanley (Coos Bay OR)
OR
01/03/2005 - 05/26/2020
CUSO FINANCIAL SERVICES, L.P. (NORTH BEND OR)
IA
08/18/1997 - 12/31/2004
CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)
NY
04/17/1995 - 03/25/1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
06/22/1992 - 01/31/1995
THOMAS JAMES ASSOCIATES, INC. (ROCHESTER NY)
IA
Issued 04/21/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/17/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/08/2024
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/30/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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