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Nicholas Charles Maffeo

Wells Fargo Clearing Services, LLC

Palm Desert, CA

Palm Desert, CA

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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
CA RA APPROVED 2002-01-14
  • CA RA
    APPROVED
    Since 2002-01-14

Branch Locations

74245 Hwy 111 Ste 203, Palm Desert, CA 92260 • United States

Palm Desert, CA • 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
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Indian Wells CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Indian Wells CA 11/2016 Present
Other Businesses

BENEFICIARY FOR KALISA WELLS; INV RELATED; LA MESA, CA; PER QUADRO ISSUED OVER 20 YEARS AGO; BENEFICIARY; START DATE: 10/09/2025; 1 HRS PER MONTH; 0 HRS DURING TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-07-22
S63 Uniform Securities Agent State Law Examination 1986-02-25
  • S65 Uniform Investment Adviser Law Examination
    1994-07-22
  • S63 Uniform Securities Agent State Law Examination
    1986-02-25
Other Names
  • Nicholas Maffeo

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · PALM DESERT, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Palm Desert, CA
THE WEALTH CONSULTING GROUP · Palm Desert, CA
CYPRESS WEALTH SERVICES, LLC · PALM DESERT, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PALM DESERT, CA
FLC CAPITAL ADVISORS · PALM DESERT, CA
MARSHA LEE & COMPANY,INC. · PALM DESERT, CA
LOTUSLAND PROPERTIES · PALM DESERT, CA

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