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NICHOLAS JAMES GRIMM
NICHOLAS J GRIMM MR., NICHOLAS J GRIMM
CRD#: 5004272
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 255 E 5TH ST STE 1400
CINCINNATI, OH 45202
Registration History
200620082010201220142016201820202022202420262 FIRMS2017 - Present (7 years)BFIFTH THIRD SECURITIES, INC. (CRD# 628)2008 - 2017 (8 years)BNATCITY INVESTMENTS, INC. (CRD# 17490)2006 - 2008 (2 years)BWOODBURY FINANCIAL SERVICES, INC. (CRD# 421)2006 - 2006 (<1 year)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2005 - 2006 (<1 year)IAFIFTH THIRD SECURITIES, INC. (CRD# 628)2009 - 2017 (8 years)IANATCITY INVESTMENTS, INC. (CRD# 17490)2008 - 2008 (<1 year)
Disclosure(s)
View By:
2/21/2011
Customer Dispute
Denied
License(s)

State Registrations

B
California 2/20/2018

B
Ohio 8/4/2017

B
Colorado 11/5/2019

IA
Ohio 2/1/2019

B
Florida 8/4/2017

B
Oklahoma 8/27/2021

B
Indiana 10/1/2019

B
Tennessee 1/14/2020

B
Kentucky 8/4/2017

B
Texas 10/29/2024

IA
Kentucky 8/4/2017

IA
Texas 10/29/2024

B
Maryland 9/27/2019

B
Vermont 12/12/2024

B
Michigan 9/27/2019

B
Virginia 10/29/2024

B
New York 9/26/2019

B
Washington 8/22/2022

B
North Carolina 8/4/2017

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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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)
255 E 5TH ST STE 1400, CINCINNATI, OH 45202
Registered with this firm since 8/4/2017

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
255 E 5TH ST STE 1400, CINCINNATI, OH 45202
Registered with this firm since 8/4/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
02/10/2009 - 08/07/2017 FIFTH THIRD SECURITIES, INC. (CRD#:628) NEWPORT, KY
B
10/22/2008 - 08/07/2017 FIFTH THIRD SECURITIES, INC. (CRD#:628) NEWPORT, KY
IA
08/28/2008 - 10/06/2008 NATCITY INVESTMENTS, INC. (CRD#:17490) COLD SPRING, KY
B
05/26/2006 - 10/06/2008 NATCITY INVESTMENTS, INC. (CRD#:17490) COLD SPRING, KY
B
02/06/2006 - 05/01/2006 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) OAKDALE, MN
B
09/22/2005 - 01/09/2006 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SMITHFIELD, RI
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B
Broker
IA
Investment Adviser
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.