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Current Employers
Nordwand Advisors

150 N. Radnor Chester Rd Suite A270, Radnor, PA 19087 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2023-11-01
PA RA APPROVED 2022-11-15
  • MA RA
    APPROVED
    Since 2023-11-01
  • PA RA
    APPROVED
    Since 2022-11-15

Branch Locations

150 N. Radnor Chester Rd Suite A270, Radnor, PA 19087 • United States

Nordwand Investments, Llc

150 N. Radnor Chester Rd Suite A270, Radnor, PA 19087 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2023-11-01
PA RA APPROVED 2023-03-30
  • MA RA
    APPROVED
    Since 2023-11-01
  • PA RA
    APPROVED
    Since 2023-03-30

Branch Locations

150 N. Radnor Chester Rd Suite A270, Radnor, PA 19087 • 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 Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley West Conshohocken PA 04/2016 11/2022
Nordwand Advisors Radnor PA 11/2022 Present
Morgan Stanley Private Bank, N.A New York NY 05/2016 11/2022
Nordwand Investments Radnor PA 03/2023 Present
  • 04/2016 → 11/2022
    West Conshohocken, PA
  • 11/2022 → Present
    Radnor, PA
  • 05/2016 → 11/2022
    Morgan Stanley Private Bank, N.A
    New York, NY
  • 03/2023 → Present
    Nordwand Investments
    Radnor, PA
Previous Registrations
  • 2016-04-04 → 2022-12-02
    West Conshohocken, PA
  • 2008-09-08 → 2016-05-02
    Credit Suisse Securities (Usa) Llc
    West Conshohocken, PA
  • 2008-03-17 → 2008-09-30
    Philadelphia, PA
    Philadelphia, PA
Other Businesses

RCBR Investments, LLC; Media PA, DE; INVESTMENT RELATED; SOLE PROPRIETOR/OWNER/PARTNER; MANAGING MEMBER; 04/2016; 0,1 LMG Investments; Brunswick NJ; Owner; Investment related; 1999; 0,1

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-09-12
S63 Uniform Securities Agent State Law Examination 1984-03-22
  • S66 Uniform Combined State Law Examination
    2006-09-12
  • S63 Uniform Securities Agent State Law Examination
    1984-03-22

View on SEC IAPD

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