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Nicholas Anthony Rogers

Morgan Stanley

Burlingame, 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 2011-09-16
CA RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2011-09-16
  • CA RA
    APPROVED
    Since 2009-06-01

Branch Locations

216 Lorton Avenue Suite 200, Burlingame, CA 94010 • 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 Burlingame CA 08/2008 Present
Morgan Stanley Smith Barney Burlingame CA 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 08/2008 → Present
    Morgan Stanley
    Burlingame, CA
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Burlingame, CA
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2008-08-25 → 2009-06-01
    Morgan Stanley & Co. Llc
    Burlingame, CA
  • 1997-07-08 → 2008-09-08
    Ubs Financial Services Inc.
    San Mateo, CA
    San Mateo, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-08-03
  • S63 Uniform Securities Agent State Law Examination
    1994-08-03
Other Names
  • Nich Rogers
  • Nick Rogers

View on SEC IAPD

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Other Offices

STRATEGIC ADVISERS LLC · BURLINGAME, CA
JARIS ASSET MANAGEMENT · BURLINGAME, CA
HOMEBREW VENTURES · BURLINGAME, CA
YK BIOVENTURES · BURLINGAME, CA
J.P. MORGAN SECURITIES LLC · BURLINGAME, CA
INDEPENDENCE SQUARE HOLDINGS, LLC · Burlingame, CA
REFACTOR CAPITAL MANAGEMENT, LLC · BURLINGAME, CA
POPLAR POINT CAPITAL MANAGEMENT LLC · BURLINGAME, CA

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