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Nimanjit Kaur

Morgan Stanley

Sacramento, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-08-24
CA RA APPROVED 2022-08-12
  • TX RA
    APPROVED
    Since 2022-08-24
  • CA RA
    APPROVED
    Since 2022-08-12

Branch Locations

400 Capitol Mall Suite 1900, Sacramento, CA 95814 • 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
Wells Fargo Bank Na Sacramento CA 07/2014 07/2022
Wells Fargo Clearing Services Llc Sacramento CA 01/2018 07/2022
Morgan Stanley Sacramento CA 08/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-03-05
S63 Uniform Securities Agent State Law Examination 2018-04-12
  • S66 Uniform Combined State Law Examination
    2021-03-05
  • S63 Uniform Securities Agent State Law Examination
    2018-04-12

View on SEC IAPD

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LPL FINANCIAL LLC · SACRAMENTO, CA
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WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SACRAMENTO, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SACRAMENTO, CA
LPL FINANCIAL LLC · SACRAMENTO, CA
ROBERT W. BAIRD & CO. INCORPORATED · SACRAMENTO, CA

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