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Nicholas Jennings Bragg

Charles Schwab & Co., Inc.

Menlo Park, CA

CRD 6703810

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

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

Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-08-24
  • CA RA
    APPROVED
    Since 2021-08-24

Branch Locations

800 El Camino Real Suite 100, Menlo Park, CA 94025-4875 • 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 Berkeley CA 09/2016 11/2016
Wells Fargo Bank, Na Berkeley CA 11/2013 07/2021
Wells Fargo Clearing Services, Llc Berkeley CA 11/2016 07/2021
Charles Schwab & Co., Inc. Menlo Park CA 08/2021 Present
Charles Schwab Bank, Ssb Menlo Park CA 08/2021 Present
  • 09/2016 → 11/2016
    Wells Fargo Advisors Llc
    Berkeley, CA
  • 11/2013 → 07/2021
    Wells Fargo Bank, Na
    Berkeley, CA
  • 11/2016 → 07/2021
    Wells Fargo Clearing Services, Llc
    Berkeley, CA
  • 08/2021 → Present
    Charles Schwab & Co., Inc.
    Menlo Park, CA
  • 08/2021 → Present
    Charles Schwab Bank, Ssb
    Menlo Park, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-01-08
S63 Uniform Securities Agent State Law Examination 2016-11-16
  • S65 Uniform Investment Adviser Law Examination
    2021-01-08
  • S63 Uniform Securities Agent State Law Examination
    2016-11-16
Other Names
  • Nick Jennings Bragg
  • Nicholas Bragg

View on SEC IAPD

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