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NICHOLAS TODD MABEY
CRD#: 5986471
IA
B
MORGAN STANLEYCRD#: 149777 200 West Civic Center Drive
Sandy, UT 84070
Sandy, UT 84070
0
Disclosures
13
Years of Experience
View By:
State Registrations
B
Alabama 8/5/2022
B
Nevada 11/15/2022
B
Alaska 9/1/2022
B
New Hampshire 8/5/2022
B
Arizona 8/5/2022
B
New Jersey 8/5/2022
B
Arkansas 8/5/2022
B
New Mexico 8/5/2022
B
California 8/5/2022
B
New York 8/5/2022
B
Colorado 8/5/2022
B
North Carolina 9/5/2023
B
Connecticut 8/5/2022
B
North Dakota 8/5/2022
B
Delaware 8/5/2022
B
Ohio 8/5/2022
B
District of Columbia 8/5/2022
B
Oklahoma 8/5/2022
B
Florida 8/5/2022
B
Oregon 9/13/2022
B
Georgia 8/5/2022
B
Pennsylvania 10/28/2022
B
Hawaii 8/5/2022
B
Puerto Rico 8/5/2022
B
Idaho 8/5/2022
B
Rhode Island 8/5/2022
B
Illinois 8/5/2022
B
South Carolina 8/5/2022
B
Indiana 8/5/2022
B
South Dakota 8/5/2022
B
Iowa 8/5/2022
B
Tennessee 8/5/2022
B
Kansas 8/5/2022
B
Texas 8/5/2022
B
Kentucky 8/5/2022
IA
Texas 8/16/2022
B
Louisiana 8/5/2022
B
Utah 8/22/2022
B
Maine 8/5/2022
IA
Utah 8/22/2022
B
Maryland 8/5/2022
B
Vermont 8/5/2022
B
Massachusetts 8/31/2022
B
Virgin Islands 8/5/2022
B
Michigan 8/5/2022
B
Virginia 9/7/2022
B
Minnesota 8/5/2022
B
Washington 8/5/2022
B
Mississippi 8/5/2022
B
West Virginia 9/19/2022
B
Missouri 8/5/2022
B
Wisconsin 8/5/2022
B
Montana 8/5/2022
B
Wyoming 8/5/2022
B
Nebraska 8/5/2022
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 8/16/2022
B
Registered with this firm since 8/5/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/04/2021 - 09/05/2023 | SANDY, UT | |
B | 11/09/2011 - 09/05/2023 | SANDY, UT |
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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.