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Detailed Report
NICHOLAS SAMUEL WESTENDORF
CRD#: 6290566
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 101 West Broadway
Suite 1800
San Diego, CA 92101
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2014 - Present (10 years)
License(s)

State Registrations

B
Alabama 7/8/2019
B
Montana 7/8/2019
B
Arizona 9/18/2014
B
Nebraska 6/10/2021
B
California 4/7/2014
B
Nevada 7/8/2019
IA
California 4/7/2014
B
New Hampshire 7/8/2019
B
Colorado 5/12/2016
B
New Jersey 7/8/2019
B
Connecticut 6/10/2021
B
New Mexico 6/21/2021
B
Delaware 10/18/2022
B
New York 11/11/2016
B
District of Columbia 6/10/2021
B
North Carolina 12/13/2018
B
Florida 10/22/2014
B
Ohio 4/16/2018
B
Georgia 6/10/2021
B
Oregon 5/9/2014
B
Hawaii 7/8/2019
B
Pennsylvania 6/10/2021
B
Idaho 12/10/2019
B
South Carolina 7/8/2019
B
Illinois 7/8/2019
B
Tennessee 7/8/2019
B
Indiana 1/4/2023
B
Texas 1/26/2018
B
Kansas 7/8/2019
IA
Texas 3/11/2020
B
Kentucky 6/10/2021
B
Utah 6/9/2015
B
Maryland 8/6/2020
B
Virginia 7/8/2019
B
Massachusetts 7/8/2019
B
Washington 6/19/2014
B
Michigan 7/8/2019
B
Wisconsin 7/8/2019
B
Mississippi 6/10/2021
B
Wyoming 7/8/2019
B
Missouri 4/19/2018

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
101 West Broadway Suite 1800, San Diego, CA 92101
Registered with this firm since 4/7/2014
B
MORGAN STANLEY (CRD#:149777)
101 West Broadway Suite 1800, San Diego, CA 92101
Registered with this firm since 3/10/2014
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.