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Nicholas J Harris

Morgan Stanley & Co. LLC

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About Nicholas J Harris

Nicholas Harris is a financial advisor with Morgan Stanley & Co. LLC. Nicholas has been in the financial services industry for over 4 years. Previously, Nicholas was employed at Merrill Lynch, Pierce, Fenner & Smith Incorporated. Nicholas is registered with FINRA and holds the Series 7TO, Series 63, Series 66 and SIE exams. Nicholas is currently registered with the state of Maryland.

Firm Information

Nicholas Harris is currently registered with Morgan Stanley & Co. LLC. Morgan Stanley & Co. LLC is a Limited Liability Company formed on December 3, 1969. It is registered in 53 states and has one approved SEC registration. The firm has been involved in 471 Regulatory Events, 5 Civil Events, and 54 Arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

462

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Nicholas Harris’s Registration & Firm History

NY

03/14/2022 - Present

Morgan Stanley & Co. LLC (NEW YORK NY)

MD

12/18/2019 - 11/03/2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HUNT VALLEY MD)

PA

05/17/2019 - 11/25/2019

PRUCO SECURITIES, LLC. (YORK PA)

PA

02/08/2019 - 03/04/2019

PRUCO SECURITIES, LLC. (CAMP HILL PA)

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Licenses & Designations

BOTH

Issued 12/27/2019

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/06/2019

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/08/2019

Series 7TO - General Securities Representative Examination

BC

Issued 01/16/2019

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Nicholas J Harris.
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