Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicole? Claim Your ProfileNicole Ruisi is a financial professional with over 20 years of experience in the industry. Currently, Nicole is a registered representative at Morgan Stanley. Prior to joining Morgan Stanley, Nicole was a registered representative at Morgan Stanley & Co. Incorporated. Nicole's professional experience spans across several firms including Morgan Stanley DW Inc., TD Ameritrade, Inc., Harris Investor Services LLC, Datek Online Financial Services LLC and Datek Online Brokerage Services LLC. Nicole holds a broad array of licenses including Series 3, 7, 9, 10, 24, 63, 79TO, 99TO and SIE. Nicole is currently registered in the state of New York.
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
NY
06/01/2009 - Present
Morgan Stanley (New York NY)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
07/18/2006 - 04/02/2007
MORGAN STANLEY DW INC. (PURCHASE NY)
NJ
08/12/2003 - 05/09/2006
TD AMERITRADE, INC. (JERSEY CITY NJ)
NJ
11/08/2002 - 07/16/2003
HARRIS INVESTOR SERVICES LLC (JERSEY CITY NJ)
NJ
06/30/2001 - 10/02/2002
DATEK ONLINE FINANCIAL SERVICES LLC (JERSEY CITY NJ)
NE
12/14/2000 - 06/30/2001
DATEK ONLINE BROKERAGE SERVICES LLC (OMAHA NE)
BC
Issued 12/27/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/24/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/23/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/02/2001
Series 4 - Registered Options Principal Examination
BC
Issued 03/09/2001
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/27/2009
Series 3 - National Commodity Futures Examination
BC
Issued 12/13/2000
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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