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Nicolas Walter

Morgan Stanley

San Luis Obispo, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-06-12
CA RA APPROVED 2026-06-10
  • TX RA
    APPROVED
    Since 2026-06-12
  • CA RA
    APPROVED
    Since 2026-06-10

Branch Locations

1321 Osos Street Suite 210, San Luis Obispo, CA 93401 • 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
Keystone Strategy San Francisco CA 12/2024 12/2025
Did Not Work Na CA 12/2025 05/2026
Morgan Stanley San Luis Obispo CA 05/2026 Present
Rbc Capital Markets, Llc San Francisco CA 10/2020 01/2022
Cal Poly Asi San Luis Obispo CA 10/2019 10/2020
Chronic Cellars Paso Robles CA 04/2019 10/2020
Cal Poly Asi San Luis Obispo CA 01/2017 06/2018
Nautical Bean Coffee San Luis Obispo CA 06/2018 04/2019
San Luis Obispo Swim Center San Luis Obispo CA 05/2015 01/2017
Morgan Stanley San Francisco CA 01/2022 11/2024
  • 12/2024 → 12/2025
    Keystone Strategy
    San Francisco, CA
  • 12/2025 → 05/2026
    Did Not Work
    Na, CA
  • 05/2026 → Present
    Morgan Stanley
    San Luis Obispo, CA
  • 10/2020 → 01/2022
    Rbc Capital Markets, Llc
    San Francisco, CA
  • 10/2019 → 10/2020
    Cal Poly Asi
    San Luis Obispo, CA
  • 04/2019 → 10/2020
    Chronic Cellars
    Paso Robles, CA
  • 01/2017 → 06/2018
    Cal Poly Asi
    San Luis Obispo, CA
  • 06/2018 → 04/2019
    Nautical Bean Coffee
    San Luis Obispo, CA
  • 05/2015 → 01/2017
    San Luis Obispo Swim Center
    San Luis Obispo, CA
  • 01/2022 → 11/2024
    Morgan Stanley
    San Francisco, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-05-20
  • S66 Uniform Combined State Law Examination
    2021-05-20

View on SEC IAPD

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TODD ALAN THOMAS
CAROLYN JANE HERZOG

Other Offices

COMMONWEALTH FINANCIAL NETWORK · San Luis Obispo, CA
LPL FINANCIAL LLC · SAN LUIS OBISPO, CA
MML INVESTORS SERVICES, LLC · SAN LUIS OBISPO, CA
EDWARD JONES · SAN LUIS OBISPO, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · San Luis Obispo, CA
CORVUS WEALTH ADVISORS LLC · SAN LUIS OBISPO, CA
PEAK WEALTH ADVISORS, INC. · SAN LUIS OBISPO, CA
CREW WEALTH MANAGEMENT · SAN LUIS OBISPO, CA

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