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Nicholas Edward Day

Wells Fargo Clearing Services, LLC

Bethesda, MD

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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
MD RA APPROVED 2024-04-26
TX RA APPROVED 2024-04-26
  • MD RA
    APPROVED
    Since 2024-04-26
  • TX RA
    APPROVED
    Since 2024-04-26

Branch Locations

7600 Wisconsin Ave Ste 900, Bethesda, MD 20814 • 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
Fidelity Brokerage Services Llc Bethesda MD 11/2016 04/2024
Wells Fargo Clearing Services, Llc Alexandria VA 04/2024 Present
Previous Registrations
  • 2018-08-27 → 2024-04-16
    Fidelity Personal And Workplace Advisors
    Bethesda, MD
  • 2014-01-10 → 2016-08-30
    Capitalrock Investments, Llc
    Naples, FL
  • 2016-06-07 → 2016-08-29
    Platinum Wealth Partners
    Naples, FL
    Tampa, FL
  • 2015-03-18 → 2016-03-23
    Qid Llc
    Naples, FL
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2017-03-30
S65 Uniform Investment Adviser Law Examination 2013-10-30
  • S63 Uniform Securities Agent State Law Examination
    2017-03-30
  • S65 Uniform Investment Adviser Law Examination
    2013-10-30

View on SEC IAPD

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