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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholaus? Claim Your ProfileNicholaus Richters is a financial advisor with Morgan Stanley. Nicholaus is based in LINCOLN, NE and has been in the industry for 52 years. Nicholaus holds a Series 63, Series 65, Series 7TO, Series 9, Series 10, Series 4, Series 5, Series 12, Series 40, and SIE licenses. Nicholaus has worked for a number of firms in the past, including MORGAN STANLEY & CO. INCORPORATED, MORGAN STANLEY DW INC., WARNER GROUP, INC., SHEARSON LEHMAN BROTHERS INC., and LAMSON BROS. & CO.. Nicholaus's specializations include asset allocation advice, financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses, portfolio management for individuals, and portfolio management for investment companies.
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
NE
05/06/2011 - Present
Morgan Stanley (LINCOLN NE)
NE
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (LINCOLN NE)
NE
06/15/1992 - 04/02/2007
MORGAN STANLEY DW INC. (LINCOLN NE)
IA
10/01/1985 - 07/31/1992
WARNER GROUP, INC. (WATERLOO IA)
NA
11/22/1977 - 09/27/1985
SHEARSON LEHMAN BROTHERS INC.
NA
12/15/1976 - 11/22/1977
SHEARSON HAYDEN STONE INC.
NA
11/17/1976 - 12/15/1976
SHEARSON HAYDEN STONE INC.
NA
02/24/1971 - 11/17/1976
LAMSON BROS. & CO.
IA
Issued 03/24/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/19/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/13/1977
Series 4 - Registered Options Principal Examination
BC
Issued 07/21/1977
Series 12 - NYSE Branch Manager Examination
BC
Issued 12/09/1976
Series 40 - Registered Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/1981
Series 5 - Interest Rate Options Examination
BC
Issued 02/12/1971
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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