DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Nicole Karen Choi

Morgan StanleywirehouseRancho Sante Fe, Cadual registrantIAPD 5415713

Feed of 09/14/2026

At current firm

1 y

since Jan 10, 2025

In the industry

18 y

since Dec 17, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Morgan Stanley wirehouse current
since Jan 10, 2025 · Rancho Sante Fe, Ca
UBS Financial Services Inc. wirehouse
May 31, 2023 to Jan 21, 2025 · San Diego, Ca
Cetera Advisors LLC former
Jan 20, 2022 to Jun 2, 2023 · San Diego, Ca
Cetera Investment Advisers LLC BD affiliated
Nov 12, 2020 to Jun 2, 2023 · San Diego, Ca
First Allied Advisory Services, Inc. former
Mar 21, 2019 to Nov 12, 2020 · San Diego, Ca
LPL Financial LLC BD affiliated
Jan 30, 2013 to Mar 25, 2019 · San Diego, Ca
Lucia Capital Group former
Jul 17, 2012 to Dec 7, 2012 · San Diego, Ca
Lucia Capital Group former
Apr 15, 2010 to Mar 2, 2012 · San Diego, Ca
Raymond J. Lucia Companies, Inc. unclassified
Jan 16, 2009 to Jun 14, 2010 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

UBS Financial Services Inc. to Morgan Stanley
left Jan 21, 2025, registered Jan 10, 2025 (-11 days) · Wirehouse to wirehouse · moved with a team
Cetera Advisors LLC to UBS Financial Services Inc.
left Jun 2, 2023, registered May 31, 2023 (-2 days) · Affiliated broker-dealer or bank to wirehouse
Cetera Investment Advisers LLC to Cetera Advisors LLC
left Jun 2, 2023, registered Jan 20, 2022 (-498 days) · Affiliated broker-dealer or bank to another
First Allied Advisory Services, Inc. to Cetera Investment Advisers LLC
left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
LPL Financial LLC to First Allied Advisory Services, Inc.
left Mar 25, 2019, registered Mar 21, 2019 (-4 days) · RIA to affiliated broker-dealer or bank
Lucia Capital Group to LPL Financial LLC
left Dec 7, 2012, registered Jan 30, 2013 (54 days) · Other
Raymond J. Lucia Companies, Inc. to Lucia Capital Group
left Jun 14, 2010, registered Apr 15, 2010 (-60 days) · Other

Signals

Nicole Karen Choi left Ubs Financial Services Inc. for Morgan Stanley (registered 2025-01-10)
Jan 21, 2025 · Advisor changed firm · fact
Nicole Karen Choi left Cetera Advisors Llc for Ubs Financial Services Inc. (registered 2023-05-31)
Jun 2, 2023 · Advisor changed firm · fact
Nicole Karen Choi left Cetera Investment Advisers Llc for Cetera Advisors Llc (registered 2022-01-20)
Jun 2, 2023 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Wirehousederived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address