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Nicholas Manuel Rodriguez

Wells Fargo Clearing Services, LLC

Agoura Hills, CA

Westlake Village, CA

Newbury Park, CA

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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
CA RA APPROVED 2021-06-14
  • CA RA
    APPROVED
    Since 2021-06-14

Branch Locations

5823 Kanan Rd, Agoura Hills, CA 91301 • United States

3059 Townsgate Rd 4Th Fl/Ste 400 [Ld-Rbo], Westlake Village, CA 91361 • United States

925 Broadbeck Dr, Newbury Park, CA 91320 • 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
Wells Fargo Bank Na Ventura CA 03/2016 Present
Wells Fargo Clearing Services Llc Ventura CA 05/2018 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-06-12
S63 Uniform Securities Agent State Law Examination 2018-09-04
  • S66 Uniform Combined State Law Examination
    2021-06-12
  • S63 Uniform Securities Agent State Law Examination
    2018-09-04
Other Names
  • Nicholas Rodriguez

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · AGOURA HILLS, CA
PLANMEMBER SECURITIES CORPORATION · Agoura Hills, CA
SHE WEALTH ADVISORS LLC · AGOURA HILLS, CA
MURAPA INVESTMENTS · AGOURA HILLS, CA
EDWARD JONES · AGOURA HILLS, CA
THE WEALTH CONSULTING GROUP · Agoura Hills, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · AGOURA, CA
CITIGROUP GLOBAL MARKETS INC. · Agoura Hills, CA

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