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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicole? Claim Your ProfileNicole Joy Bauman is a financial advisor with Morgan Stanley in Fort Lauderdale, FL. Nicole has been in the industry since May 2000 and has a wealth of experience providing financial advice to individuals and businesses. Nicole holds a Series 7 and Series 63 license as well as the SIE exam. Nicole is registered with the Financial Industry Regulatory Authority (FINRA) and is also a registered investment advisor in Florida and Texas. Nicole works closely with her clients to understand their financial goals and develop personalized strategies to help them achieve them. Nicole has a long history of providing financial advice and has worked at a number of leading financial institutions including UBS Financial Services Inc. and Morgan Stanley DW Inc. Nicole is committed to providing her clients with the highest level of service and support.
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
FL
06/01/2009 - Present
Morgan Stanley (Fort Lauderdale FL)
FL
09/03/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (FT. LAUDERDALE FL)
FL
12/03/2004 - 09/16/2008
UBS FINANCIAL SERVICES INC. (FT. LAUDERDALE FL)
NY
05/04/2000 - 12/07/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
BC
Issued 05/17/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/03/2000
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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