Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicole? Claim Your ProfileNicole Simon is a financial advisor with Morgan Stanley, having been in the industry since 2004. Nicole has a strong background in financial services, with experience at RBC Dain Rauscher Inc. and UBS Financial Services Inc. Nicole has a wide range of experience and qualifications, including Series 7, Series 31, Series 63 and Series 66 licenses. Nicole offers a variety of financial services, including financial planning, portfolio management and asset allocation advice. Nicole has the experience and expertise to help individuals and families achieve their financial 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
CA
03/31/2010 - Present
Morgan Stanley (San Jose CA)
CA
06/26/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SAN JOSE CA)
CA
01/06/2005 - 06/15/2007
RBC DAIN RAUSCHER INC. (SAN JOSE CA)
NJ
11/17/2004 - 01/10/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
BOTH
Issued 02/19/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/06/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/02/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 11/16/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Nicole Simon is the right advisor for you? Invested Better is here to help.
