Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nevin? Claim Your ProfileNevin Thomas Hougardy is a financial advisor with Morgan Stanley. Nevin has been in the financial services industry since 1991. He has a Series 7, Series 31, Series 63 and Series 65 licenses. Nevin has been registered with Morgan Stanley since 2009. Previously, Nevin was registered with CITIGROUP GLOBAL MARKETS INC. from 1993 until 2009. Nevin has worked in several locations and has experience in numerous areas, including investment clubs, insurance companies, investment companies, charitable organizations, high net worth individuals, and other investment advisors.
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
CA
10/10/2022 - Present
Morgan Stanley (Santa Cruz CA)
CA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CAPITOLA CA)
NY
08/22/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
CA
07/08/1991 - 08/28/1991
BARABAN SECURITIES, INC. (LOS ANGELES CA)
IA
Issued 03/03/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/07/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/28/1994
Series 31 - Futures Managed Funds Examination
BC
Issued 07/03/1991
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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