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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Roberts is a financial advisor registered with Morgan Stanley. Nicholas is a Series 7TO, Series 66 and SIE licensed professional. Nicholas Roberts has been a registered representative since September 2021. Nicholas has been in the securities industry for a period of time greater than two years and has an active status with the BrokerCheck system. Nicholas Roberts is registered in 53 states and is also registered as an investment advisor representative in two states. Nicholas Roberts has a proven track record of providing financial advice to a wide range of clients, including individuals, families, businesses, and institutions.
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
UT
01/24/2025 - Present
Morgan Stanley (Sandy UT)
BOTH
Issued 11/15/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/10/2021
Series 7TO - General Securities Representative Examination
BC
Issued 07/28/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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