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Nicole Joy Bauman

Morgan Stanley

Fort Lauderdale, FL

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2009-06-01
TX RA APPROVED_RES 2009-06-01
  • FL RA
    APPROVED
    Since 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2009-06-01

Branch Locations

350 East Las Olas Boulevard Suite 1500, Fort Lauderdale, FL 33301 • 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 Ft. Lauderdale FL 06/2009 Present
Previous Registrations
  • 2008-09-18 → 2009-06-01
    Morgan Stanley & Co. Llc
    Ft. Lauderdale, FL
  • 2004-12-16 → 2008-09-16
    Ubs Financial Services Inc.
    Ft. Lauderdale, FL
    Ft Lauderdale, FL
  • 2000-05-08 → 2004-12-07
    Morgan Stanley Dw Inc.
    Plantation, FL
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2002-05-17
  • S63 Uniform Securities Agent State Law Examination
    2002-05-17

View on SEC IAPD

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Other Offices

SOUTHOCEAN CAPITAL PARTNERS, LLC · FT. LAUDERDALE, FL
A1A INVESTMENT PARTNERS, LLC · FORT LAUDERDALE, FL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FORT LAUDERDALE, FL
UBS FINANCIAL SERVICES INC. · FT. LAUDERDALE, FL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FORT LAUDERDALE, FL
UBS FINANCIAL SERVICES INC. · Fort Lauderdale, FL
SPIRE WEALTH MANAGEMENT, LLC · Fort Lauderdale, FL
UBS FINANCIAL SERVICES INC. · Fort Lauderdale, FL

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