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Detailed Report
NICHOLAS SOTIRAKOPULOS
NICHOLAS JOHN SOTIRAKOPULOS, NICK JOHN SOTIRAKOPULOS
CRD#: 5335337
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 114 ASHEVILLE HWY
BREVARD, NC 28712
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2011 (3 years)2 FIRMS2011 - Present (14 years)
License(s)

State Registrations

B
Alabama 9/17/2018
B
New Mexico 4/15/2011
B
Arkansas 5/25/2011
B
New York 4/20/2011
B
California 4/20/2011
B
North Carolina 4/15/2011
B
Florida 4/15/2011
IA
North Carolina 4/15/2011
B
Georgia 4/15/2011
B
Ohio 2/7/2017
B
Illinois 4/15/2011
B
Oregon 1/20/2023
B
Massachusetts 4/20/2011
B
Pennsylvania 10/9/2018
B
Michigan 8/19/2024
B
South Carolina 4/20/2011
B
Missouri 9/22/2020
B
Tennessee 4/29/2011
B
New Hampshire 4/29/2021
B
Virginia 4/20/2011
B
New Jersey 2/28/2022

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)
114 ASHEVILLE HWY, BREVARD, NC 28712
68 HIGHWAY 107 S, CASHIERS, NC 28717
Registered with this firm since 4/15/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
114 ASHEVILLE HWY, BREVARD, NC 28712
68 HIGHWAY 107 S, CASHIERS, NC 28717
Registered with this firm since 4/15/2011
Previous Registration(s)
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IA
 09/14/2007 - 04/19/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HENDERSONVILLE, NC
B
 08/01/2007 - 04/19/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HENDERSONVILLE, NC
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.