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Nicholas G Shaw

Morgan Stanley

Newport Beach, CA

Irvine, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-06-26
TX RA APPROVED 2022-08-23
AZ RA APPROVED 2022-08-17
  • CA RA
    APPROVED
    Since 2025-06-26
  • TX RA
    APPROVED
    Since 2022-08-23
  • AZ RA
    APPROVED
    Since 2022-08-17

Branch Locations

800 Newport Center Drive Suite 500, Newport Beach, CA 92660 • United States

1901 Main Street Suite 700, Irvine, CA 92614 • 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
Jp Morgan Securities Llc Newport Beach CA 07/2016 10/2018
Jpmorgan Chase Bank Newport Beach CA 07/2016 10/2018
Triton Pacific Securities Dana Point CA 10/2018 01/2020
Morgan Stanley Irvine CA 04/2022 Present
State Street Bank & Trust Irvine CA 01/2020 03/2022
  • 07/2016 → 10/2018
    Jp Morgan Securities Llc
    Newport Beach, CA
  • 07/2016 → 10/2018
    Jpmorgan Chase Bank
    Newport Beach, CA
  • 10/2018 → 01/2020
    Triton Pacific Securities
    Dana Point, CA
  • 04/2022 → Present
    Morgan Stanley
    Irvine, CA
  • 01/2020 → 03/2022
    State Street Bank & Trust
    Irvine, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-08-12
S63 Uniform Securities Agent State Law Examination 2018-05-31
  • S66 Uniform Combined State Law Examination
    2022-08-12
  • S63 Uniform Securities Agent State Law Examination
    2018-05-31
Other Names
  • Nicholas G Shaw
  • Nick Shaw
  • Nicholas Shaw
  • Nicholas George Shaw

View on SEC IAPD

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Other Offices

OKAPI CAPITAL, LLC · NEWPORT BEACH, CA
OCVC, LLC · NEWPORT BEACH, CA
MIG CAPITAL, LLC · NEWPORT BEACH, CA
RESEARCH AFFILIATES · NEWPORT BEACH, CA
PAAMCO PRISMA, LLC · NEWPORT BEACH, CA
COMPOSITION WEALTH, LLC · Newport Beach, CA
J.P. MORGAN SECURITIES LLC · NEWPORT BEACH, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Newport Beach, CA

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