Individual Firm
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NICHOLAS JOHN GIACONIA
CRD#: 2238592
IA
B
WELLS FARGO ADVISORSCRD#: 19616 1201 NEW RD, STE 207
CORNERSTONE COMMERCE CENTER
LINWOOD, NJ 08221
CORNERSTONE COMMERCE CENTER
LINWOOD, NJ 08221
View By:
4/29/2004
Customer Dispute
Settled
State Registrations
B
Alaska 2/16/2010
IA
New Jersey 1/13/2006
B
Arizona 9/27/2022
B
New York 5/15/2009
B
Colorado 1/7/2014
B
North Carolina 1/13/2006
B
Florida 1/13/2006
B
Pennsylvania 1/13/2006
B
Iowa 4/20/2011
B
South Carolina 5/15/2007
B
Maryland 8/16/2018
B
Texas 9/15/2021
B
Michigan 5/15/2023
B
Virginia 1/13/2006
B
Montana 9/25/2020
B
Washington 5/28/2021
B
New Jersey 1/13/2006
B
West Virginia 7/8/2019
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 1/13/2006
B
Registered with this firm since 1/13/2006
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/12/2002 - 01/20/2006 | NORTHFIELD, NJ | |
B | 06/23/1992 - 01/20/2006 | NORTHFIELD, NJ |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.