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Nicholas Chin

Morgan Stanley

San Jose, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2011-03-08
CA RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2011-03-08
  • CA RA
    APPROVED
    Since 2009-06-01

Branch Locations

225 West Santa Clara Street Suite 900, San Jose, CA 95113 • 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
Sjsu San Jose CA 08/2002 Present
Citigroup Global Markets Inc San Jose CA 08/2006 Present
Morgan Stanley Smith Barney San Jose CA 06/2009 Present
  • 08/2002 → Present
    Sjsu
    San Jose, CA
  • 08/2006 → Present
    Citigroup Global Markets Inc
    San Jose, CA
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    San Jose, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-10-03
  • S66 Uniform Combined State Law Examination
    2008-10-03

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
PFG ADVISORS · San Jose, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
WELLS FARGO CLEARING SERVICES, LLC · SAN JOSE, CA
J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
EQUITABLE ADVISORS, LLC · CAMPBELL, CA
ROLO VENTURES MANAGEMENT LLC · SAN JOSE, CA

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