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Detailed Report
NICHOLAS GORDON LUCE
NICHOLAS LUCE
CRD#: 5130862
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1494 E 2ND ST
BEAUMONT, CA 92223
Registration History
200620082010201220142016201820202022202420262 FIRMS2015 - Present (9 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2007 - 2015 (8 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)2006 - 2007 (<1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2011 - 2015 (4 years)
Disclosure(s)
View By:
1/15/2016
Customer Dispute
Denied
License(s)

State Registrations

B
Alaska 12/3/2024
B
Missouri 9/22/2020
B
Arizona 9/22/2020
B
Nevada 3/12/2021
B
California 5/29/2015
B
North Carolina 11/1/2018
IA
California 6/1/2015
B
Oregon 8/6/2020
B
Colorado 10/26/2021
B
South Carolina 6/15/2023
B
Florida 9/22/2020
B
Texas 12/16/2020
B
Hawaii 9/26/2019
IA
Texas 12/17/2020
B
Idaho 6/30/2017
B
Utah 6/10/2019
B
Michigan 3/3/2023
B
Washington 9/22/2020
B
Mississippi 1/23/2024
B
Wyoming 4/11/2023

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

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)
1494 E 2ND ST, BEAUMONT, CA 92223
34340 MONTEREY AVE, PALM DESERT, CA 92211
Registered with this firm since 6/1/2015
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1494 E 2ND ST, BEAUMONT, CA 92223
34340 MONTEREY AVE, PALM DESERT, CA 92211
Registered with this firm since 5/29/2015
Previous Registration(s)
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IA
 01/03/2011 - 06/11/2015 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BEAUMONT, CA
B
 05/29/2007 - 06/11/2015 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BEAUMONT, CA
B
 07/27/2006 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) BANNING, CA
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.