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Alexandra Nichols

Wells Fargo Clearing Services, LLC

Newport Beach, CA

Brea, 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 2021-07-28
TX RA APPROVED 2021-07-28
  • CA RA
    APPROVED
    Since 2021-07-28
  • TX RA
    APPROVED
    Since 2021-07-28

Branch Locations

520 Newport Center Dr Ste 1700, Newport Beach, CA 92660 • United States

135 S State College Blvd Ste 550, Brea, CA 92821 • 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
Ubs Financial Services Beverly Hills CA 07/2014 09/2016
Ubs Financial Services Inc Brea CA 09/2016 07/2021
Wells Fargo Clearing Services, Llc Newport News CA 07/2021 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-08-25
  • S66 Uniform Combined State Law Examination
    2014-08-25
Designations
Other Names
  • Alexandra Lyons Smith
  • Alexandra Kathryn Lyons-Smith
  • Alexandra Kathryn Nichols

View on SEC IAPD

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