Nicholaus Dean Richters

CRD 376095 · Morgan Stanley · Lincoln, NE

IA RegisteredBroker

Also appears in the source record as: Nicholaus D Richters; Nick Richters

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (12): Series 65Series 63Series 24Series 9Series 10Series 4Series 12Series 40Series 7TOSIESeries 5Series 1
Registered states (12): Alabama · Arizona · Colorado · Florida · Illinois · Iowa · Kansas · Missouri · Nebraska · Oregon · Texas · Virginia
Years in the industry (source record): 55
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 376095 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Morgan Stanley
Firm CRD: 149777
SEC number: 801-70103
Assets under management: $2.0T as of Jun 30, 2026
Website: www.morganstanley.com ↗
Phone: 914-225-5510
Firm location: Purchase, NY, 10577-2530

Employment history (10)

From the source registration record · current first

Morgan StanleyCurrent
Lincoln, NE · IA capacity

Jun 1, 2009 → present
Morgan Stanley & Co. Incorporated
BD capacity

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley & Co. Incorporated
IA capacity

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley
IA capacity

Jul 31, 1997 → Apr 2, 2007
Morgan Stanley Dw Inc.
BD capacity

Jun 15, 1992 → Apr 2, 2007
Warner Group, Inc.
BD capacity

Oct 1, 1985 → Jul 31, 1992
Shearson Lehman Brothers Inc.
BD capacity

Nov 22, 1977 → Sep 27, 1985
Shearson Hayden Stone Inc.
BD capacity

Dec 15, 1976 → Nov 22, 1977
Shearson Hayden Stone Inc.
BD capacity

Nov 17, 1976 → Dec 15, 1976
Lamson Bros. & Co.
BD capacity

Feb 24, 1971 → Nov 17, 1976

Source & corrections

Where this page comes from

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