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NICOLE DESIREE SIMON
NICOLE BRUCE, NICOLE D KOKE, NICOLE DESIREE KOKE
CRD#: 1247990
IA
B
MORGAN STANLEYCRD#: 149777 225 West Santa Clara Street
Suite 900
San Jose, CA 95113
Suite 900
San Jose, CA 95113
0
Disclosures
20
Years of Experience
View By:
State Registrations
B
Alabama 3/5/2010
B
Minnesota 8/4/2011
B
Arizona 3/5/2010
B
Missouri 8/4/2011
B
Arkansas 8/10/2011
B
Montana 3/5/2010
B
California 6/1/2009
B
Nebraska 8/4/2011
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California 2/28/2011
B
Nevada 3/5/2010
B
Colorado 3/5/2010
B
New Hampshire 8/4/2011
B
Connecticut 8/4/2011
B
New Jersey 3/5/2010
B
Delaware 7/30/2018
B
New Mexico 8/4/2011
B
District of Columbia 6/25/2021
B
New York 3/5/2010
B
Florida 3/5/2010
B
North Carolina 3/8/2010
B
Georgia 3/5/2010
B
Ohio 8/8/2011
B
Hawaii 3/5/2010
B
Oklahoma 3/27/2015
B
Idaho 3/5/2010
B
Oregon 3/5/2010
B
Illinois 3/5/2010
B
Pennsylvania 8/4/2011
B
Indiana 3/5/2010
B
South Carolina 2/23/2023
B
Iowa 3/24/2023
B
Tennessee 3/8/2011
B
Kansas 2/22/2023
B
Texas 3/5/2010
B
Kentucky 8/4/2011
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Texas 3/31/2010
B
Louisiana 9/13/2019
B
Utah 8/4/2011
B
Maine 8/4/2011
B
Vermont 8/4/2011
B
Maryland 3/5/2010
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Virginia 3/5/2010
B
Massachusetts 8/4/2011
B
Washington 3/5/2010
B
Michigan 5/7/2014
B
Wyoming 3/26/2021
SRO Registrations
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B
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B
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Registered with this firm since 3/31/2010
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/26/2007 - 06/01/2009 | SAN JOSE, CA | |
B | 01/06/2005 - 06/15/2007 | SAN JOSE, CA | |
B | 11/17/2004 - 01/10/2005 | WEEHAWKEN, NJ |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.