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Nicholas Sargent Gormley

Morgan Stanley

Santa Monica, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-03-11
CA RA APPROVED 2014-09-10
WA RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2020-03-11
  • CA RA
    APPROVED
    Since 2014-09-10
  • WA RA
    APPROVED
    Since 2009-06-01

Branch Locations

100 Wilshire Boulevard Suite 1900, Santa Monica, CA 90401 • 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 Long Beach CA 06/2009 Present
Previous Registrations
  • 2008-05-05 → 2009-06-01
    Morgan Stanley & Co. Llc
    Bellevue, WA
  • 2005-05-09 → 2008-05-12
    Ubs Financial Services Inc.
    San Francisco, CA
    Weehawken, NJ
    Seattle, WA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-05-06
S63 Uniform Securities Agent State Law Examination 1996-01-12
  • S66 Uniform Combined State Law Examination
    2005-05-06
  • S63 Uniform Securities Agent State Law Examination
    1996-01-12
Other Names
  • Nick Gormley
  • Nicholas Sargent Gormley

View on SEC IAPD

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