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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 Sams is a financial advisor who has been working in the industry since 2009. Nicole is currently registered with Morgan Stanley and holds several licenses and registrations including Series 7, 66, 9, 10 and 31. Nicole has previously worked at UBS Financial Services Inc. Nicole has experience providing advisory services to a variety of clients including individuals, high-net-worth individuals, corporations, and retirement plans. Nicole's specialties include asset allocation, financial planning, pension consulting, and portfolio management.
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
03/11/2020 - Present
Morgan Stanley (Irvine CA)
CA
04/07/2009 - 06/10/2010
UBS FINANCIAL SERVICES INC. (CENTURY CITY CA)
BOTH
Issued 06/15/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/03/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/24/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/07/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 04/06/2009
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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