Individual Firm
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NICHOLAS EDWARD DAY
CRD#: 6175335
IA
B
WELLS FARGO ADVISORSCRD#: 19616 7600 WISCONSIN AVE
STE 900
BETHESDA, MD 20814
STE 900
BETHESDA, MD 20814
0
Disclosures
10
Years of Experience
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State Registrations
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Maryland 4/26/2024
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Texas 4/26/2024
IA
Maryland 4/26/2024
IA
Texas 4/26/2024
SRO Registrations
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IA
Registered with this firm since 4/26/2024
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Registered with this firm since 4/26/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/27/2018 - 04/16/2024 | BETHESDA, MD | |
B | 03/02/2017 - 04/16/2024 | BETHESDA, MD | |
IA | 01/10/2014 - 08/30/2016 | NAPLES, FL | |
IA | 06/07/2016 - 08/29/2016 | Naples, FL | |
IA | 03/18/2015 - 03/23/2016 | NAPLES, FL |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.