Nicole Rochelle Carner

Rancho Santa Fe, CA

Claim This Profile

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2014-02-11
CA	RA	APPROVED	2009-06-01

TX RA
APPROVED_RES

Since 2014-02-11
CA RA
APPROVED

Since 2009-06-01

Branch Locations

6037 La Flecha Suite 200, Rancho Santa Fe, CA 92067 • 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

Organization	City	State	From	To
Morgan Stanley Smith Barney	Rancho Santa Fe	CA	06/2009	Present

06/2009 → Present

Morgan Stanley Smith Barney

Rancho Santa Fe, CA

Previous Registrations

2005-04-18 → 2009-06-01

Citigroup Global Markets Inc.

Rancho Santa Fe, CA

Rancho Santa Fe, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-04-14

S66 Uniform Combined State Law Examination

2005-04-14

View on SEC IAPD

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U.S. BANCORP ADVISORS, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Other Investors

JASON SCOTT MUBARAK

ANNA MARIE THOMAS

MATTHEW MICHAEL HANSEN

RONALD WILLIAM THOMAS

Maxwell Richard Parziale

Other Offices

MORGAN STANLEY · RANCHO SANTE FE, CA

ESSENTIAL PARTNERS LLC · RANCHO SANTA FE,, CA

AMERIPRISE FINANCIAL SERVICES, LLC · Rancho Santa Fe, CA

DARK HORSE ADVISORS LLC · Rancho Santa Fe, CA

LPL FINANCIAL LLC · RANCHO SANTA FE, CA

EAGLE STRATEGIES LLC · Rancho Santa Fe, CA

U.S. BANCORP ADVISORS, LLC · Rancho Santa Fe, CA

WELLS FARGO CLEARING SERVICES, LLC · RANCHO SANTA FE, CA

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