Individual Firm
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NICHOLAUS DEAN RICHTERS
NICHOLAUS D RICHTERS, NICK RICHTERS
CRD#: 376095
IA
B
MORGAN STANLEYCRD#: 149777 1248 O STREET
SUITE 1100
LINCOLN, NE 68508
SUITE 1100
LINCOLN, NE 68508
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1/5/2019
Regulatory
Final
State Registrations
B
Alabama 6/1/2009
B
Missouri 5/10/2011
B
Arizona 6/1/2009
B
Nebraska 6/1/2009
B
Colorado 1/13/2011
IA
Nebraska 6/1/2009
B
Florida 6/1/2009
B
Oregon 6/1/2009
B
Illinois 1/5/2021
B
Texas 6/1/2009
B
Iowa 6/1/2009
IA
Texas 5/6/2011
B
Kansas 8/19/2010
B
Virginia 11/13/2014
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 06/01/2009 | LINCOLN, NE | |
B | 04/02/2007 - 06/01/2009 | LINCOLN, NE | |
IA | 07/31/1997 - 04/02/2007 | LINCOLN, NE | |
B | 06/15/1992 - 04/02/2007 | LINCOLN, NE | |
B | 10/01/1985 - 07/31/1992 | WATERLOO, IA | |
B | 11/22/1977 - 09/27/1985 | ||
B | 12/15/1976 - 11/22/1977 | ||
B | 11/17/1976 - 12/15/1976 | ||
B | 02/24/1971 - 11/17/1976 |
12/15/1976 - 11/22/1977
11/17/1976 - 12/15/1976
02/24/1971 - 11/17/1976
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B
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.
IA
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.