Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Moore is a registered representative with Morgan Stanley. Nicholas has been in the financial services industry for over 6 years and has a broad range of experience in investment advisory services. Nicholas has passed multiple securities exams including the Series 66, Series 63, Series 10, Series 9, Series 3, SIE and Series 7 exams. Nicholas is licensed to offer investment advice in 53 states and is registered with FINRA as well. Nicholas has worked at Charles Schwab & Co., Inc. and E*TRADE Securities LLC. Nicholas is dedicated to helping clients achieve their financial goals.
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
AZ
01/26/2022 - Present
Morgan Stanley (GILBERT AZ)
AZ
10/06/2022 - 09/05/2023
E*TRADE SECURITIES LLC (Gilbert AZ)
AZ
10/28/2016 - 01/02/2022
CHARLES SCHWAB & CO., INC. (Phoenix AZ)
BOTH
Issued 12/21/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/01/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/21/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/19/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/11/2022
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/28/2016
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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