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Nicholas David Rohlfing

Morgan Stanley

Waukesha, WI

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2026-04-09
IL RA APPROVED 2019-11-22
TX RA APPROVED_RES 2019-11-07
NH RA APPROVED 2014-05-07
  • WI RA
    APPROVED
    Since 2026-04-09
  • IL RA
    APPROVED
    Since 2019-11-22
  • TX RA
    APPROVED_RES
    Since 2019-11-07
  • NH RA
    APPROVED
    Since 2014-05-07

Branch Locations

20975 Swenson Drive Suite 300, Waukesha, WI 53186 • 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 Waukesha WI 02/2013 Present
  • 02/2013 → Present
    Morgan Stanley Smith Barney Llc
    Waukesha, WI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-05-06
S63 Uniform Securities Agent State Law Examination 2012-11-26
  • S66 Uniform Combined State Law Examination
    2014-05-06
  • S63 Uniform Securities Agent State Law Examination
    2012-11-26

View on SEC IAPD

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NOAMAN A.Q. SHARIEF
JEROME JOSEPH VERANTH
MATTHEW ROBERT SLOWINSKI
DANIEL GLENN SIEVERS

Other Offices

DANA INVESTMENT ADVISORS INC · WAUKESHA, WI
DANA INVESTMENT ADVISORS INC · Waukesha, WI
RAYMOND JAMES & ASSOCIATES, INC. · Waukesha, WI
WELLS FARGO CLEARING SERVICES, LLC · WAUKESHA, WI
WORLD INVESTMENT ADVISORS, LLC · Waukesha, WI
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WAUKESHA , WI
OSAIC WEALTH, INC. · WAUKESHA, WI
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Waukesha, WI

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