Nicole M Blumenthal

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:

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2014-02-11
NC	RA	APPROVED	2009-06-01

TX RA
APPROVED_RES

Since 2014-02-11
NC RA
APPROVED

Since 2009-06-01

Branch Locations

6805 Carnegie Boulevard Suite 400, Charlotte, NC 28211 • 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

Organization	City	State	From	To
Morgan Stanley Smith Barney	Charlotte	NC	06/2009	Present

06/2009 → Present

Morgan Stanley Smith Barney

Charlotte, NC

Previous Registrations

2009-01-05 → 2009-06-01

Citigroup Global Markets Inc.

Charlotte, NC

Other Businesses

*595486 - Nicole Blumenthal; Investment related: No; Charlotte, North Carolina; Art/Culture; Sole Proprietor/Owner(proprietor, partner, officer, director, employee, trustee, agent); 6/2024; During business hours: 0; After business hours: 10; Sales/Marketing

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-12-23

S66 Uniform Combined State Law Examination

2008-12-23

Other Names

Nicole Marie Lille

View on SEC IAPD