Nicholas V Soares

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	2019-08-21
CT	RA	APPROVED	2000-03-20

TX RA
APPROVED_RES

Since 2019-08-21
CT RA
APPROVED

Since 2000-03-20

Branch Locations

450 Post Road E, Westport, CT 06880 • United States

Easton, CT • 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	Westport	CT	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Westport	CT	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Westport, CT
11/2016 → Present

Wells Fargo Clearing Services, Llc

Westport, CT

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-10-02
S63	Uniform Securities Agent State Law Examination	1986-01-08

S65 Uniform Investment Adviser Law Examination

1997-10-02
S63 Uniform Securities Agent State Law Examination

1986-01-08

Other Names

Nicholas Vincent Iii Soares
Nicholas Vincent Soares

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

Other Offices

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