Nicholas John Mccarty

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-02-25
WA	RA	APPROVED	2016-09-08

TX RA
APPROVED_RES

Since 2020-02-25
WA RA
APPROVED

Since 2016-09-08

Branch Locations

601 Union Street, Two Union Square Suite 5200, Seattle, WA 98101 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Morgan Stanley	Seattle	WA	08/2016	Present
Morgan Stanley Private Bank, N.A	New York	NY	05/2019	Present

08/2016 → Present

Morgan Stanley

Seattle, WA
05/2019 → Present

Morgan Stanley Private Bank, N.A

New York, NY

Previous Registrations

2015-04-01 → 2016-08-12

Kms Financial Services, Inc.

Seattle, WA
2011-01-03 → 2011-07-05

Wells Fargo Clearing Services, Llc

Seattle, WA
2010-11-24 → 2011-01-03

Wells Fargo Investments, Llc

Seattle, WA

Seattle, WA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-03-26
S65	Uniform Investment Adviser Law Examination	2010-11-19
S63	Uniform Securities Agent State Law Examination	2010-09-08

S66 Uniform Combined State Law Examination

2015-03-26
S65 Uniform Investment Adviser Law Examination

2010-11-19
S63 Uniform Securities Agent State Law Examination

2010-09-08

View on SEC IAPD

Current Employers

Morgan Stanley

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews