Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Sargent Gormley is a registered representative of Morgan Stanley with over 28 years of experience in the financial industry. Nicholas is registered with the state of California as an Investment Advisor Representative (IAR) and with the states of Washington and Texas as a Broker-Dealer. Nicholas is a highly experienced financial advisor who has worked with a variety of clients, including individuals, families, businesses, and institutions. Nicholas holds Series 3, 6, 7, 9, 10, 63, 66, 79TO and SIE licenses. Nicholas is committed to providing clients with personalized financial advice and investment strategies that are tailored to their specific needs and 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
GA
06/01/2009 - Present
Morgan Stanley (Savannah GA)
WA
05/05/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BELLEVUE WA)
NJ
08/20/2001 - 05/12/2008
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
RI
07/15/1999 - 11/29/2000
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
NJ
02/24/1997 - 06/24/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
MA
03/01/1995 - 12/02/1996
COLONIAL INVESTMENT SERVICES, INC. (BOSTON MA)
NA
07/14/1993 - 03/01/1995
COLONIAL INVESTMENT SERVICES
BOTH
Issued 05/06/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/12/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/27/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/28/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/2011
Series 3 - National Commodity Futures Examination
BC
Issued 02/21/1997
Series 7 - General Securities Representative Examination
BC
Issued 07/13/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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