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Shelly Mallard

Wells Fargo Advisors Financial Network, LLC

New Bern, NC

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Current Employers
Wells Fargo Advisors Financial Network, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2023-06-15
TX RA APPROVED 2023-06-15
  • NC RA
    APPROVED
    Since 2023-06-15
  • TX RA
    APPROVED
    Since 2023-06-15

Branch Locations

240 A Craven St, New Bern, NC 28560 • 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 Advisors, Llc New Bern NC 03/2014 11/2016
Wells Fargo Clearing Services, Llc New Bern NC 11/2016 06/2023
Wells Fargo Advisors Financial Network, Llc New Bern NC 06/2023 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-03-31
  • S66 Uniform Combined State Law Examination
    2015-03-31
Other Names
  • Nikki Heath
  • Shelly Nicole Heath
  • Nikki Mallard
  • Shelly N Mallard
  • Shelly H Mallard

View on SEC IAPD

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Other Offices

BLUESKY WEALTH ADVISORS, LLC · NEW BERN, NC
EDWARD JONES · New Bern, NC
LPL ENTERPRISE, LLC · NEW BERN, NC
FIRST CITIZENS INVESTOR SERVICES, INC. · New Bern, NC
BANKERS LIFE ADVISORY SERVICES, INC. · New Bern, NC
COOPER MCMANUS · NEW BERN, NC
PRINCIPAL SECURITIES, INC. · NEW BERN, NC
STATE FARM INVESTMENT MANAGEMENT CORP. · New Bern, NC

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