Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Scott is an active investment advisor representative registered with both FINRA and the Securities and Exchange Commission (SEC). He is licensed to provide investment advice in all 50 states and Puerto Rico, as well as the District of Columbia and the Virgin Islands. Nicholas is currently employed at Morgan Stanley in the Burlingame, California office. He has been working in the financial services industry for over 10 years and has a diverse background in the financial services industry. Nicholas previously worked with Edward Jones, Alamo Capital, and MA Private Wealth. Nicholas specializes in providing financial advice to individuals, 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
CA
03/31/2021 - Present
Morgan Stanley (Burlingame CA)
CA
09/06/2018 - 05/14/2019
ALAMO CAPITAL (WALNUT CREEK CA)
CA
07/12/2017 - 08/24/2018
EDWARD JONES (ELK GROVE CA)
CA
09/02/2016 - 06/28/2017
WELLS FARGO CLEARING SERVICES, LLC (ELK GROVE CA)
BOTH
Issued 11/07/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/14/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/09/2017
Series 7 - General Securities Representative Examination
BC
Issued 09/02/2016
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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