Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Rogers is a financial advisor with over 25 years of experience in the financial services industry. Nicholas has been registered with Morgan Stanley since 2008 and has been active in the industry since 1994. Nicholas has a Series 7, Series 63, and SIE license and is registered to provide investment advice in 31 states. Nicholas has specialized in various areas including securities, mutual funds, variable annuities, and retirement planning.
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
09/16/2011 - Present
Morgan Stanley (Burlingame CA)
CA
08/22/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BURLINGAME CA)
CA
01/28/1995 - 09/08/2008
UBS FINANCIAL SERVICES INC. (SAN MATEO CA)
NY
08/02/1994 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
BC
Issued 08/03/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/01/1994
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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