Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
NICOLE CLAYTON
NICOLE FAYE CLAYTON, Nikki F Clayton, Nicole Faye Walter, Nikki Faye Walter
CRD#: 6437451
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 11025 ONE N JEFFERSON AVE
ST. LOUIS, MO 63103
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2018 - 2019 (1 year)2 FIRMS2019 - 2020 (1 year)2 FIRMS2020 - Present (4 years)2 FIRMS2024 - Present (<1 year)BSCOTTRADE, INC. (CRD# 8206)2015 - 2018 (2 years)IATD AMERITRADE INVESTMENT MANAG... (CRD# 111514)2018 - 2018 (<1 year)IASCOTTRADE INVESTMENT MANAGEMENT (CRD# 169988)2016 - 2018 (1 year)
License(s)

State Registrations

B
Missouri 9/9/2020
IA
Missouri 9/9/2020

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#:11025)
ONE N JEFFERSON AVE, ST. LOUIS, MO 63103
Fenton, MO
Registered with this firm since 6/20/2024
B
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025)
ONE N JEFFERSON AVE, ST. LOUIS, MO 63103
Fenton, MO
Registered with this firm since 6/20/2024
IA
WELLS FARGO ADVISORS (CRD#:19616)
ONE N JEFFERSON AVE, ST. LOUIS, MO 63103
Fenton, MO
Registered with this firm since 9/9/2020
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
ONE N JEFFERSON AVE, ST. LOUIS, MO 63103
Fenton, MO
Registered with this firm since 9/9/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/24/2019 - 09/03/2020 EDWARD JONES (CRD#:250) ST LOUIS, MO
B
 06/24/2019 - 09/03/2020 EDWARD JONES (CRD#:250) ST LOUIS, MO
IA
 03/05/2018 - 06/14/2019 TD AMERITRADE, INC. (CRD#:7870) ST. LOUIS, MO
B
 02/26/2018 - 06/14/2019 TD AMERITRADE, INC. (CRD#:7870) ST. LOUIS, MO
IA
 02/26/2018 - 11/29/2018 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) OMAHA, NE
IA
 06/10/2016 - 02/26/2018 SCOTTRADE INVESTMENT MANAGEMENT (CRD#:169988) SAINT LOUIS, MO
B
 05/05/2015 - 02/26/2018 SCOTTRADE, INC. (CRD#:8206) ST LOUIS, MO
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.