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Nicole Elizabeth Roach

Stifel, Nicolaus & Company, Incorporated

Newport Beach, CA

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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-05-05
TX RA APPROVED 2023-05-05
  • CA RA
    APPROVED
    Since 2023-05-05
  • TX RA
    APPROVED
    Since 2023-05-05

Branch Locations

520 Newport Center Drive Suite 1500, Newport Beach, CA 92660 • 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
Morgan Stanley Smith Barney Llc Irvine CA 06/2009 05/2023
Morgan Stanley Private Bank, N.A. New York NY 01/2015 05/2023
Stifel, Nicolaus & Company, Incorporated Boston MA 05/2023 Present
  • 06/2009 → 05/2023
    Morgan Stanley Smith Barney Llc
    Irvine, CA
  • 01/2015 → 05/2023
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 05/2023 → Present
    Stifel, Nicolaus & Company, Incorporated
    Boston, MA
Previous Registrations
  • 2009-06-01 → 2023-05-23
    Morgan Stanley
    Irvine, CA
    Irvine, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Irvine, CA
  • 2002-03-21 → 2007-04-02
    Morgan Stanley Dw Inc.
    Irvine, CA
    Irvine, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-01-24
  • S66 Uniform Combined State Law Examination
    2002-01-24
Designations
Other Names
  • Nicole Elizabeth Trott

View on SEC IAPD

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OKAPI CAPITAL, LLC · NEWPORT BEACH, CA
OCVC, LLC · NEWPORT BEACH, CA
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RESEARCH AFFILIATES · NEWPORT BEACH, CA
PAAMCO PRISMA, LLC · NEWPORT BEACH, CA
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J.P. MORGAN SECURITIES LLC · NEWPORT BEACH, CA
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