Nicholas George Dukas

Current Employers

Employment History

• 08/2011 → 11/2016
  Wells Fargo Advisors
  Clearwatser, FL
• 11/2016 → 08/2017
  Wells Fargo Clearing Services, Llc
  Clearwatser, FL
• 08/2017 → Present
  Stifel Nicolaus & Co Inc
  Clearwater, FL

Previous Registrations

• 2011-08-19 → 2017-08-18
  Wells Fargo Clearing Services, Llc
  Clearwater, FL
• 2009-06-01 → 2011-09-06
  Morgan Stanley
  Palm Harbor, FL
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Palm Harbor, FL
• 1992-10-06 → 2007-04-02
  Morgan Stanley Dw Inc.
  Palm Harbor, FL
  Clearwater, FL

Other Businesses

1.Nick Dukas; 3756 Embassy Circle, Palm Harbor, FA 34685; music; Part Time Musician; Part Time Singer; 7/01/2012; 100.0 Hrs per Year; Not during Securities Trading Hours; Not Investment-Related 2.One and Forever Publishing (ASCAP), nickdukasmusic CND Records; 3756 Embassy Circle Palm Habor FL 34685; Music recording (original and covers) and performance, mostly locally; Writer and performer; writing and performing music; Receive royalties and payment for performance; affiliation started 03/01/2013; 100 hours per year; not during securities trading hours; not investment-related. 3. FINRA; Boca Center Tower 1 5200 Town Center Circle Boca Raton FL 33486; Industry Regulatory Authority/Arbitration; Non-public Arbitrator; Panelist for arbitration; affiliation started 09/17/2003; 50.0 hours per year; during securities trading hours; investment-related. 4. NFA Arbitrator; 300 S. Riverside Plaza #1800, Chicago IL 60606; Commodities Regulatory org.;NFA Arbitrator; Arbitrator; 8/1/2003; 10.0 Hrs per Year; Investment-Related. 5. St Mark Village; 2655 Nebraska Avenue, Palm Harbor, FL 34684; Continuing care retirement center; Member of the board; Assist board and help guide long range planning; 11/23/2021; 5 Hours per Quarter; Not During Securities Trading Hours; Not Investment-Related.

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-10-26
• S63 Uniform Securities Agent State Law Examination
  1984-08-24