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Nicholas Anthony Wallace

Morgan Stanley

West Des Moines, IA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-03-19
IA RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2020-03-19
  • IA RA
    APPROVED
    Since 2009-06-01

Branch Locations

1080 Jordan Creek Parkway Suite 400 North, West Des Moines, IA 50266 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Citigroup Global Markets Inc. Des Moines IA 05/2000 Present
Morgan Stanley Smith Barney Des Moines IA 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 05/2000 → Present
    Citigroup Global Markets Inc.
    Des Moines, IA
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Des Moines, IA
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-04-26
S63 Uniform Securities Agent State Law Examination 2001-04-25
  • S65 Uniform Investment Adviser Law Examination
    2006-04-26
  • S63 Uniform Securities Agent State Law Examination
    2001-04-25

View on SEC IAPD

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