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Phillip C Nivens

Wells Fargo Clearing Services, LLC

Charlotte, NC

Charlotte, NC

Charlotte, NC

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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
NC RA APPROVED 2024-06-12
  • NC RA
    APPROVED
    Since 2024-06-12

Branch Locations

550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • United States

1616 Central Ave, Charlotte, NC 28205 • United States

1625 South Blvd, Charlotte, NC 28203 • 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 Charlotte NC 10/2014 11/2016
Wells Fargo Clearing Services, Llc Charlotte NC 11/2016 07/2021
Truist Investment Services, Inc Atlanta GA 07/2021 06/2024
Truist Advisory Services, Inc. Atlanta GA 07/2021 06/2024
Wells Fargo Clearing Services, Llc Charlotte NC 06/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-03-05
  • S66 Uniform Combined State Law Examination
    2015-03-05
Other Names
  • Phillip Chandler Nivens

View on SEC IAPD

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