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NICOLE SAUSE FAWLEY
NICOLE KATHERINE FAWLEY, NICOLE KATHERINE SAUSE
CRD#: 4373582
IA
B
MORGAN STANLEYCRD#: 149777 400 Convention Street
Suite 400
Baton Rouge, LA 70802
Suite 400
Baton Rouge, LA 70802
0
Disclosures
23
Years of Experience
View By:
State Registrations
B
Alabama 7/2/2019
B
Michigan 5/12/2023
B
Arizona 10/14/2020
B
Minnesota 10/14/2020
B
Arkansas 10/14/2020
B
Mississippi 6/15/2016
B
California 9/24/2020
B
Montana 10/14/2020
B
Colorado 9/24/2020
B
New Jersey 2/24/2021
B
Connecticut 11/30/2020
B
New Mexico 9/24/2020
B
Delaware 1/11/2024
B
New York 9/24/2020
B
District of Columbia 9/24/2020
B
North Carolina 6/15/2016
B
Florida 6/15/2016
B
North Dakota 3/5/2021
B
Georgia 6/15/2016
B
Oklahoma 3/5/2021
B
Idaho 3/5/2021
B
Oregon 4/22/2021
B
Illinois 5/11/2020
B
South Carolina 3/27/2019
B
Indiana 6/15/2016
B
South Dakota 8/9/2021
B
Iowa 11/30/2020
B
Tennessee 4/22/2021
B
Kansas 5/11/2020
B
Texas 6/15/2016
B
Kentucky 5/12/2020
IA
Texas 6/15/2016
B
Louisiana 6/15/2016
B
Utah 4/22/2021
IA
Louisiana 6/15/2016
B
Virginia 3/27/2019
B
Maryland 5/11/2020
B
Washington 9/24/2020
B
Massachusetts 10/14/2020
B
West Virginia 4/22/2021
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/15/2016
B
Registered with this firm since 6/15/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/03/2009 - 06/17/2016 | BATON ROUGE, LA | |
B | 09/01/2009 - 06/17/2016 | BATON ROUGE, LA | |
IA | 07/06/2005 - 09/01/2009 | BATON ROUGE, LA | |
B | 07/06/2005 - 09/01/2009 | BATON ROUGE, LA | |
IA | 02/25/2005 - 07/06/2005 | ENGLEWOOD, CO | |
B | 10/09/2003 - 07/06/2005 | CHICAGO, IL | |
B | 10/02/2002 - 07/25/2003 | FRANKLIN, TN | |
B | 04/06/2001 - 05/23/2002 | WEST CHESTER, PA |
BATON ROUGE, LA
09/03/2009 - 06/17/2016
BATON ROUGE, LA
09/01/2009 - 06/17/2016
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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.