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Nicole K De Loza

Morgan Stanley

Irvine, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2009-06-01
  • CA RA
    APPROVED
    Since 2009-06-01

Branch Locations

1901 Main Street Suite 700, Irvine, CA 92614 • 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 Smith Barney Long Beach CA 06/2009 08/2017
Morgan Stanley Smith Barney Llc Irvine CA 08/2017 Present
  • 06/2009 → 08/2017
    Morgan Stanley Smith Barney
    Long Beach, CA
  • 08/2017 → Present
    Morgan Stanley Smith Barney Llc
    Irvine, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-08-13
  • S66 Uniform Combined State Law Examination
    2008-08-13
Other Names
  • Nicole K Herrera

View on SEC IAPD

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