Stefan Nicholas

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
MD	RA	APPROVED	2017-12-13

MD RA
APPROVED

Since 2017-12-13

Branch Locations

5550 Friendship Blvd, Chevy Chase, MD 20815 • United States

620 S Tryon St, Charlotte, NC 28255 • 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 Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors, Llc	Washington	DC	03/2013	11/2016
Wells Fargo Clearing Services, Llc	Washington	DC	11/2016	11/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Washington	DC	11/2017	Present

03/2013 → 11/2016

Wells Fargo Advisors, Llc

Washington, DC
11/2016 → 11/2017

Wells Fargo Clearing Services, Llc

Washington, DC
11/2017 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Washington, DC

Previous Registrations

2013-09-06 → 2017-11-24

Wells Fargo Clearing Services, Llc

Minneapolis, MN

Columbia, MD

Bethesda, MD

Minneapolis, MN

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-08-23

S66 Uniform Combined State Law Examination

2013-08-23

Other Names

Stefan Constantine Nicholas

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews