Individual Firm
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NICOLE LEATHAM
NICOLE L FERNANDEZ, NICOLE LEATHAM FERNANDEZ-SEOANE, NICOLE LEATHAM LEATHAM
CRD#: 5211957
IA
B
MORGAN STANLEYCRD#: 149777 6510 South Millrock Drive
Suite 100
Holladay, UT 84121
Suite 100
Holladay, UT 84121
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11/18/2008
Customer Dispute
Denied
State Registrations
B
Alabama 7/30/2024
B
Nevada 12/5/2019
B
Arizona 12/5/2019
B
New Mexico 12/5/2019
B
California 12/5/2019
B
New York 12/5/2019
B
Colorado 12/5/2019
B
North Carolina 12/5/2019
B
District of Columbia 8/21/2024
B
Ohio 4/22/2022
B
Florida 12/5/2019
B
Oregon 12/5/2019
B
Georgia 2/24/2023
B
Pennsylvania 9/9/2020
B
Hawaii 12/10/2019
B
South Carolina 12/5/2019
B
Idaho 12/5/2019
B
South Dakota 8/9/2023
B
Illinois 12/5/2019
B
Tennessee 12/5/2019
B
Indiana 3/15/2023
IA
Texas 12/5/2019
B
Iowa 2/21/2024
B
Texas 12/6/2019
B
Kansas 6/7/2021
B
Utah 12/5/2019
B
Kentucky 6/9/2023
IA
Utah 12/9/2019
B
Louisiana 2/21/2024
B
Vermont 1/29/2024
B
Maine 12/5/2019
B
Virginia 12/5/2019
B
Massachusetts 5/10/2022
B
Washington 12/5/2019
B
Minnesota 11/2/2021
B
West Virginia 12/5/2019
B
Missouri 12/5/2019
B
Wisconsin 6/21/2024
B
Montana 1/14/2023
B
Wyoming 12/5/2019
B
Nebraska 12/5/2019
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered representatives
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IA
Registered with this firm since 12/5/2019
B
Registered with this firm since 12/5/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/15/2006 - 12/09/2019 | SALT LAKE CITY, UT | |
B | 11/10/2006 - 12/09/2019 | SALT LAKE CITY, UT |
SALT LAKE CITY, UT
12/15/2006 - 12/09/2019
SALT LAKE CITY, UT
11/10/2006 - 12/09/2019
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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.