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NICHOLAS VINCENT FAVIA
CRD#: 5683965
IA
B
MORGAN STANLEYCRD#: 149777 14850 North Scottsdale Road
Suite 600
Scottsdale, AZ 85254
Suite 600
Scottsdale, AZ 85254
0
Disclosures
12
Years of Experience
View By:
State Registrations
B
Alaska 4/9/2018
B
Minnesota 7/21/2023
B
Arizona 3/18/2014
B
Missouri 6/20/2019
IA
Arizona 3/21/2014
B
Nevada 4/2/2014
B
California 3/6/2014
B
New Jersey 1/11/2017
B
Colorado 4/2/2014
B
New Mexico 2/9/2016
B
Connecticut 2/25/2020
B
New York 4/10/2015
B
Delaware 7/21/2023
B
Ohio 12/3/2022
B
District of Columbia 11/6/2018
B
Oklahoma 7/21/2023
B
Florida 1/2/2018
B
Oregon 4/22/2014
B
Georgia 10/10/2024
B
Pennsylvania 10/26/2021
B
Hawaii 6/26/2024
B
Rhode Island 6/22/2017
B
Idaho 4/2/2014
B
South Carolina 7/21/2023
B
Illinois 3/6/2014
B
Tennessee 5/7/2018
B
Indiana 4/21/2015
B
Texas 3/6/2014
B
Iowa 9/27/2024
IA
Texas 3/14/2014
B
Kansas 2/14/2024
B
Utah 9/27/2024
B
Kentucky 7/2/2014
B
Virginia 7/8/2014
B
Maine 9/17/2014
B
Washington 5/17/2016
B
Maryland 8/25/2022
B
West Virginia 2/25/2015
B
Massachusetts 1/11/2017
B
Wyoming 9/27/2024
B
Michigan 7/14/2016
SRO Registrations
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B
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IA
Registered with this firm since 3/14/2014
B
Registered with this firm since 3/6/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/18/2010 - 03/27/2012 | SCOTTSDALE, AZ | |
B | 07/12/2010 - 03/27/2012 | SCOTTSDALE, AZ | |
B | 10/01/2009 - 10/15/2009 | SCOTTSDALE, AZ |
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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.