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Detailed Report
NICHOLAS JENNINGS BRAGG
NICHOLAS BRAGG, Nick Jennings Bragg
CRD#: 6703810
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 800 El Camino Real
Suite 100
Menlo Park, CA 94025-4875
Registration History
201620172018201920202021202220232024202520262 FIRMS2021 - Present (3 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2016 - 2021 (4 years)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2021 - 2021 (<1 year)
License(s)

State Registrations

B
California 8/24/2021
B
New York 3/25/2022
IA
California 8/24/2021
B
Oregon 10/10/2022
B
Colorado 3/25/2022
B
South Carolina 9/26/2024
B
District of Columbia 3/4/2023
B
Tennessee 10/23/2023
B
Florida 10/28/2022
B
Utah 3/26/2024
B
Hawaii 3/25/2022
B
Virginia 3/25/2022
B
Idaho 3/4/2023
B
Washington 3/25/2022
B
Massachusetts 4/19/2022
B
Wisconsin 9/26/2024
B
New Hampshire 4/19/2022

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

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
CHARLES SCHWAB & CO., INC. (CRD#:5393)
800 El Camino Real Suite 100, Menlo Park, CA 94025-4875
Registered with this firm since 8/24/2021
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
800 El Camino Real Suite 100, Menlo Park, CA 94025-4875
Registered with this firm since 8/24/2021
Previous Registration(s)
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IA
 01/08/2021 - 08/05/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) BERKELEY, CA
B
 11/04/2016 - 08/05/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) BERKELEY, 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.