Nicholas John Mathiason

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

Current Employers

Wells Fargo Clearing Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2025-05-30
SC	RA	APPROVED	2010-10-08
NC	RA	APPROVED	2006-06-30

TX RA
APPROVED_RES

Since 2025-05-30
SC RA
APPROVED

Since 2010-10-08
NC RA
APPROVED

Since 2006-06-30

Branch Locations

15801 Brixham Hill Ave Ste 100, Charlotte, NC 28277 • 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 No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Fort Mill	SC	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Fort Mill	SC	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Fort Mill, SC
11/2016 → Present

Wells Fargo Clearing Services, Llc

Fort Mill, SC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-06-28

S66 Uniform Combined State Law Examination

2006-06-28

Other Names

Nick J Mathiason
Nicholas Mathiason

View on SEC IAPD

Employer firm

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Exams

Other Names

Nearby Firms

Nearby Investors

Nearby Offices

Reviews