Nicole Karen Choi

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (7)

Series 66Series 4Series 53Series 24Series 52TOSIESeries 7

Registered states (43)

Alabama · Arizona · Arkansas · California · Colorado · Connecticut · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Louisiana · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · South Carolina · South Dakota · Tennessee · Texas · Utah · Virgin Islands · Virginia · Washington · Wyoming

Years in the industry (source record)

19

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

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 (17)

From the source registration record · current first

• Morgan StanleyCurrent

  Rancho Sante Fe, CA · IA capacity
  Jan 10, 2025 → present
• Ubs Financial Services Inc.

  BD capacity
  May 31, 2023 → Jan 21, 2025
• Ubs Financial Services Inc.

  IA capacity
  May 31, 2023 → Jan 21, 2025
• Cetera Advisors LLC

  IA capacity
  Jan 20, 2022 → Jun 2, 2023
• Cetera Investment Advisers LLC

  IA capacity
  Nov 12, 2020 → Jun 2, 2023
• Cetera Advisors LLC

  BD capacity
  May 22, 2020 → Jun 2, 2023
• First Allied Securities, Inc.

  BD capacity
  Mar 21, 2019 → Sep 8, 2022
• First Allied Advisory Services, Inc.

  IA capacity
  Mar 21, 2019 → Nov 12, 2020
• Lpl Financial LLC

  BD capacity
  Jan 30, 2013 → Mar 25, 2019
• Lpl Financial LLC

  IA capacity
  Jan 30, 2013 → Mar 25, 2019
• Rjl Wealth Management, LLC

  IA capacity
  Jul 17, 2012 → Dec 7, 2012
• Lucia Securities, LLC

  BD capacity
  Jul 12, 2012 → Dec 7, 2012
• Lucia Securities, LLC

  BD capacity
  Sep 12, 2011 → Mar 2, 2012
• Rjl Wealth Management, LLC

  IA capacity
  Apr 15, 2010 → Mar 2, 2012
• First Allied Securities, Inc.

  BD capacity
  Aug 6, 2008 → Dec 5, 2011
• Raymond J. Lucia Companies, Inc.

  IA capacity
  Jan 16, 2009 → Jun 14, 2010
• Securities Service Network, Inc.

  BD capacity
  Dec 5, 2007 → Jul 3, 2008

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.