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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

Nicholas James Anderson

Advisor at MORGAN STANLEY

GILBERT, AZ

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Search this name across graphsid dfx:ria:dbf03483-f75d-60bf-d028-3ba1a5dac09e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 4
On other graphs: 0
Observed: Dec 17, 2019 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MORGAN STANLEY
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Aug 2, 2016
First registration: Dec 17, 2019
Dual registered: yes, broker-dealer
Other names: Nicholas James Anderson|Nicholas J Anderson
IAPD individual key: 6622528

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MORGAN STANLEY	Wirehouse	Jun 24, 2026	n/a	yes	GILBERT, AZ	Current employment
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Mar 14, 2025	May 27, 2026	no	Gilbert, AZ\|Phoenix, AZ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 7, 2023	Mar 14, 2025	no	GILBERT, AZ	Previous registration
MORGAN STANLEY	Wirehouse	Dec 22, 2022	Jun 9, 2023	no	GILBERT, AZ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Dec 17, 2019	Nov 15, 2022	no	CHANDLER, AZ\|CHANDLER, AZ\|CHANDLER, AZ\|NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	MORGAN STANLEY	May 27, 2026	Jun 24, 2026	28	Firm change	Ibd to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Mar 14, 2025	Mar 14, 2025	0	Firm change	Wirehouse to ibd
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 9, 2023	Jul 7, 2023	28	Firm change	Wirehouse to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY	Nov 15, 2022	Dec 22, 2022	37	Firm change	Wirehouse to wirehouse

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7691:149777:NY:2022-09-06	Nov 15, 2022	Dec 22, 2022	NEW YORK, NY	Firm change

Relationships

Registered with (3)

→ MORGAN STANLEYRegistered adviserregistration: previous registration
Dec 22, 2022 to Jun 9, 2023factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Mar 14, 2025 to May 27, 2026factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 7, 2023 to Mar 14, 2025factForm ADV

Dated events

Occurred
May 27, 2026
Advisor changed firm
Nicholas James Anderson left Raymond James Financial Services Advisors, Inc for Morgan Stanley (registered 2026-06-24)
Form ADVobserved 4 days ago
Occurred
Mar 14, 2025
Advisor changed firm
Nicholas James Anderson left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Raymond James Financial Services Advisors, Inc (registered 2025-03-14)
Form ADVobserved 4 days ago
Occurred
Jun 9, 2023
Advisor changed firm
Nicholas James Anderson left Morgan Stanley for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-07-07)
Form ADVobserved 4 days ago
Occurred
Nov 15, 2022
Advisor changed firm
Nicholas James Anderson left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Morgan Stanley (registered 2022-12-22)
Form ADVobserved 4 days ago