Nicholas Joseph Moore

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2015 → 12/2021
  Charles Schwab & Co., Inc.
  Phoenix, AZ
• 05/2021 → 12/2021
  Charles Schwab Bank, Ssb
  Phoenix, AZ
• 01/2022 → Present
  Morgan Stanley
  Gilbert, AZ
• 10/2022 → 09/2023
  E*Trade Securities Llc
  Gilbert, AZ

Previous Registrations

• 2017-12-21 → 2022-01-02
  Charles Schwab & Co., Inc.
  Phoenix, AZ
  Phoenix, AZ

Other Businesses

*644221 - Landlord; Investment Related - Yes; Buckeye, Arizona; Rental Property; Sole Proprietor/Owner (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 06/2025; During Business Hours: 0; After Business Hours: 4; Property Management

Exams

• S66 Uniform Combined State Law Examination
  2017-12-21
• S63 Uniform Securities Agent State Law Examination
  2016-12-01

Other Names

• Nick Moore