Nicholas J Moore

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2014 → 09/2019
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  La Jolla, CA
• 05/2015 → 09/2019
  Bank Of America, N.A.
  La Jolla, CA
• 09/2019 → Present
  Morgan Stanley Smith Barney Llc
  La Jolla, CA
• 09/2019 → Present
  Morgan Stanley Private Bank, N.A.
  New York, NY

Previous Registrations

• 2015-02-24 → 2019-09-17
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  La Jolla, CA

Other Businesses

*615481 - Rental Property ; Investment related: Yes; La Jolla, California; Rental Property; Sole Proprietor/Owner(proprietor, partner, officer, director, employee, trustee, agent); 11/2024; During business hours: 0; After business hours: 0; Property Management

Exams

• S66 Uniform Combined State Law Examination
  2015-02-23

Other Names

• Nicholas/Nick Regoli
• Nicholas/Nick Regoli-Moore