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NICHOLAS ALFRED MORAN
NICHOLAS MORAN
CRD#: 5616257
IA
B
MORGAN STANLEYCRD#: 149777 1100 Poydras Street
Suite 1900
New Orleans, LA 70163
Suite 1900
New Orleans, LA 70163
0
Disclosures
16
Years of Experience
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State Registrations
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Alabama 3/18/2013
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Mississippi 1/12/2011
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Arizona 2/2/2011
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Missouri 2/2/2011
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Arkansas 4/18/2023
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Montana 7/31/2023
B
California 1/12/2011
B
Nebraska 8/23/2024
B
Colorado 5/5/2014
B
Nevada 10/25/2016
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Connecticut 1/17/2013
B
New Jersey 1/20/2011
B
Delaware 9/13/2013
B
New Mexico 5/5/2014
B
District of Columbia 7/5/2011
B
New York 1/20/2011
B
Florida 1/12/2011
B
North Carolina 10/11/2010
B
Georgia 2/2/2011
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Ohio 2/3/2011
B
Hawaii 5/5/2014
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Oklahoma 2/2/2011
B
Idaho 1/12/2011
B
Oregon 11/10/2011
B
Illinois 1/12/2011
B
Pennsylvania 1/12/2011
B
Indiana 1/12/2011
B
Rhode Island 12/16/2024
B
Iowa 1/16/2019
B
South Carolina 4/23/2013
B
Kansas 7/31/2015
B
Tennessee 5/5/2014
B
Kentucky 5/5/2014
B
Texas 6/23/2010
B
Louisiana 6/23/2010
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Texas 6/23/2010
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Louisiana 11/9/2010
B
Utah 2/4/2015
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Maine 5/15/2024
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Virginia 2/2/2011
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Maryland 8/14/2013
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Washington 2/2/2011
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Massachusetts 5/5/2014
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West Virginia 3/21/2023
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Michigan 1/12/2011
SRO Registrations
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IA
Registered with this firm since 6/23/2010
B
Registered with this firm since 6/23/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/11/2009 - 04/05/2010 | BOSTON, MA | |
IA | 01/23/2009 - 04/05/2010 | BOSTON, MA | |
IA | 01/14/2009 - 04/05/2010 | PITTSBURGH, PA | |
B | 12/23/2008 - 04/05/2010 | BOSTON, MA |
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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.