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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 Rochelle Moten is a financial advisor currently registered with Morgan Stanley. Nicole has been in the financial services industry since 2004. Nicole has a strong track record of working with individuals, corporations, and institutions. Nicole has also served on the executive board of Leaps and Bounds Family Services. Nicole holds a Certified Financial Planner designation and has passed the Series 6, 7, 9, 10, 63, and 66 exams. Nicole is registered to offer investment advisory services in Arizona, California, Colorado, Delaware, Florida, Illinois, Indiana, Massachusetts, Michigan, Nevada, New York, Ohio, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, and Wisconsin. Nicole is also a registered representative of Morgan Stanley.
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
MI
08/09/2023 - Present
Morgan Stanley (Birmingham MI)
MI
06/03/2014 - 08/15/2023
WELLS FARGO CLEARING SERVICES, LLC (BIRMINGHAM MI)
MI
07/14/2009 - 05/13/2014
J.P. MORGAN SECURITIES LLC (BIRMINGHAM MI)
IL
03/02/1999 - 10/15/2003
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
BOTH
Issued 08/25/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/02/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/28/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/16/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/13/2009
Series 7 - General Securities Representative Examination
BC
Issued 03/01/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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