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James Nathan Hickey

Wells Fargo Clearing Services, LLC

Naples, FL

Punta Gorda, FL

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-10-11
  • FL RA
    APPROVED
    Since 2021-10-11

Branch Locations

9110 Strada Pl 3Rd Floor [F9-Rbo], Naples, FL 34108 • United States

10001 Burnt Store Rd, Punta Gorda, FL 33950 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wachovia Bank, N.A. Punta Gorda FL 11/2006 Present
Wells Fargo Advisors Llc Punta Gorda FL 05/2009 11/2016
Wells Fargo Clearing Services, Llc Punta Gorda FL 11/2016 Present
  • 11/2006 → Present
    Wachovia Bank, N.A.
    Punta Gorda, FL
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Punta Gorda, FL
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Punta Gorda, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-10-29
S63 Uniform Securities Agent State Law Examination 2007-10-05
  • S66 Uniform Combined State Law Examination
    2020-10-29
  • S63 Uniform Securities Agent State Law Examination
    2007-10-05
Other Names
  • James Hickey

View on SEC IAPD

Other Firms

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J.P. MORGAN SECURITIES LLC
SYNOVUS SECURITIES, INC.
LPL FINANCIAL LLC
CAPITAL WEALTH PLANNING, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
NTV FRONTIER MANAGEMENT
NTV PROSPERITY MANAGEMENT

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RUDINA RUCI
SALWA AMEEN
SAEGER CAY OLSEN
MIGUEL ALEJANDRO ALVAREZ
Manuel Espinosa
Ethan Nathaniel Stern
DAVID MATTHEW WHITTAKER

Other Offices

TRUIST ADVISORY SERVICES, INC. · NAPLES, FL
TRUIST ADVISORY SERVICES, INC. · NAPLES, FL
WELLS FARGO CLEARING SERVICES, LLC · NAPLES, FL
J.P. MORGAN SECURITIES LLC · NAPLES, FL
SYNOVUS SECURITIES, INC. · NAPLES, FL
LPL FINANCIAL LLC · NAPLES, FL
CAPITAL WEALTH PLANNING, LLC · NAPLES, FL
AMERIPRISE FINANCIAL SERVICES, LLC · NAPLES, FL

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