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Nicole A Rosario

Morgan Stanley

Laguna Niguel, 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 2023-11-09
CA RA APPROVED 2023-09-25
  • TX RA
    APPROVED_RES
    Since 2023-11-09
  • CA RA
    APPROVED
    Since 2023-09-25

Branch Locations

28202 Cabot Road Suite 500, Laguna Niguel, CA 92677 • 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
Ubs Financial Services Newport Beach, Ca CA 01/2021 08/2023
Deloitte Consulting Costa Mesa CA 09/2018 01/2021
Macy's Inc New York NY 08/2016 07/2018
Morgan Stanley Laguna Niguel CA 09/2023 Present
Morgan Stanley Private Bank, N.A New York NY 09/2023 Present
  • 01/2021 → 08/2023
    Ubs Financial Services
    Newport Beach, Ca, CA
  • 09/2018 → 01/2021
    Deloitte Consulting
    Costa Mesa, CA
  • 08/2016 → 07/2018
    Macy's Inc
    New York, NY
  • 09/2023 → Present
    Morgan Stanley
    Laguna Niguel, CA
  • 09/2023 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-09-10
  • S66 Uniform Combined State Law Examination
    2021-09-10
Other Names
  • Nicole Rosario

View on SEC IAPD

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Other Offices

EHRLICH FINANCIAL GROUP · LAGUNA NIGUEL, CA
TCFG INVESTMENT ADVISORS, LLC · LAGUNA NIGUEL, CA
SENTIENT FINANCIAL, LLC · LAGUNA NIGUEL, CA
LPL FINANCIAL LLC · LAGUNA NIGUEL, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LAGUNA NIGUEL, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Laguna Niguel, CA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Laguna Niguel, CA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Laguna Niguel, CA

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