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Detailed Report
NICHOLAS A VAFEAS
NICHOLAS A VAREAS
CRD#: 4188686
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1010 FRANKLIN AVE STE 100
GARDEN CITY, NY 11530
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2008 - 2009 (<1 year)2 FIRMS2019 - Present (5 years)BMORGAN STANLEY (CRD# 149777)2009 - 2019 (10 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2000 - 2008 (8 years)IAMORGAN STANLEY SMITH BARNEY LLC (CRD# 149777)2009 - 2009 (<1 year)
License(s)

State Registrations

B
Alabama 2/2/2023
B
Nevada 6/28/2019
B
Arizona 6/28/2019
B
New Jersey 6/28/2019
B
California 6/28/2019
IA
New Jersey 10/28/2019
B
Connecticut 6/28/2019
B
New Mexico 6/28/2019
B
Delaware 10/18/2023
B
New York 6/28/2019
B
District of Columbia 6/28/2019
IA
New York 7/27/2021
B
Florida 6/28/2019
B
North Carolina 6/28/2019
B
Georgia 1/12/2021
B
Oregon 6/28/2019
B
Illinois 6/28/2019
B
Pennsylvania 6/28/2019
B
Kentucky 7/19/2019
B
South Carolina 6/28/2019
B
Maryland 6/28/2019
B
Texas 6/28/2019
B
Massachusetts 6/28/2019
IA
Texas 10/25/2019
B
Michigan 3/18/2020
B
Vermont 6/28/2019
B
Minnesota 10/11/2023
B
Virginia 6/28/2019
B
Missouri 5/11/2022
B
Washington 1/6/2024

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
1010 FRANKLIN AVE STE 100, GARDEN CITY, NY 11530
DIX HILLS, NY
Registered with this firm since 10/25/2019
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1010 FRANKLIN AVE STE 100, GARDEN CITY, NY 11530
DIX HILLS, NY
Registered with this firm since 6/28/2019
Previous Registration(s)
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B
 06/01/2009 - 07/05/2019 MORGAN STANLEY (CRD#:149777) GARDEN CITY, NY
IA
 06/01/2009 - 12/31/2009 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) GARDEN CITY, NY
IA
 08/13/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) GARDEN CITY, NY
B
 08/08/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) GARDEN CITY, NY
B
 06/16/2000 - 08/22/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) GARDEN CITY, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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
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.