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Nicholaus Dean Richters

Morgan Stanley

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About Nicholaus Dean Richters

Nicholaus 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.

Firm Information

Nicholaus Richters is currently registered with Morgan Stanley. Morgan Stanley is a Limited Liability Company based in PURCHASE, NY, formed in 2009. They offer a wide range of advisory services, including financial planning, pension consulting, educational seminars, and selection of other advisors. Their client base includes individuals, high-net-worth individuals, investment clubs, corporations, insurance companies, investment companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. Morgan Stanley manages approximately $10 billion to $50 billion in assets. Their website addresses are HTTP://WWW.MORGANSTANLEYCLIENTSERV.COM and HTTP://WWW.MORGANSTANLEY.COM.
Morgan Stanley

2000 WESTCHESTER AVENUE

PURCHASE, NY 10577-2530

$1.40T

Assets Under Management

335,385

Total Clients

23,624

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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asset allocation advice

Asset allocation advice

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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other

See schedule d miscellaneous

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Nicholaus Richters’s Registration & Firm History

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.

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Licenses & Designations

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

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for Nicholaus Dean Richters. Review regulatory record here.
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