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Nickolaus Andrew Roeschley

Raymond James & Associates, Inc.

Chandler, AZ

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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2023-07-21
TX RA APPROVED_RES 2023-07-20
  • AZ RA
    APPROVED
    Since 2023-07-21
  • TX RA
    APPROVED_RES
    Since 2023-07-20

Branch Locations

3133 West Frye Road Suite 410, Chandler, AZ 85226 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors North Scottsdale AZ 10/2012 11/2016
Wells Fargo Clearing Services, Llc North Scottsdale AZ 11/2016 07/2023
Raymond James & Associates, Inc. Chandler AZ 07/2023 Present
Previous Registrations
  • 2012-10-05 → 2023-07-25
    Wells Fargo Clearing Services, Llc
    Scottsdale, AZ
    Scottsdale, AZ
  • 2009-06-01 → 2012-10-24
    Morgan Stanley
    Scottsdale, AZ
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Scottsdale, AZ
    Scottsdale, AZ
  • 2006-09-22 → 2007-04-02
    Morgan Stanley Dw Inc.
    Scottsdale, AZ
    Scottsdale, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-11-19
  • S66 Uniform Combined State Law Examination
    2001-11-19
Other Names
  • Nickolaus A Roeschley

View on SEC IAPD

Other Firms

J.P. MORGAN SECURITIES LLC
EDWARD JONES
LPL FINANCIAL LLC
VAL VISTA CAPITAL MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
INDEPENDENT FINANCIAL GROUP, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Other Investors

Aaron D Hyde
Kelly A Luft
ADRIENNE TERENA BORCHERS
Eric Sitton
SAMUEL J SMITH
RENEE JEAN HRUSKA
ANDREA MICHELLE MCLELLAND
Christine Lynne Lobdell Raney

Other Offices

J.P. MORGAN SECURITIES LLC · CHANDLER, AZ
EDWARD JONES · CHANDLER, AZ
LPL FINANCIAL LLC · CHANDLER, AZ
VAL VISTA CAPITAL MANAGEMENT, LLC · SUN LAKES, AZ
WELLS FARGO CLEARING SERVICES, LLC · CHANDLER, AZ
EDWARD JONES · SUN LAKES, AZ
STATE FARM INVESTMENT MANAGEMENT CORP. · Chandler, AZ
INDEPENDENT FINANCIAL GROUP, LLC · CHANDLER, AZ

More in Chandler, AZ

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