Nolan Scott Caldwell

CRD 1403327 · Wells Fargo Advisors · Houston, TX

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 31Series 7Series 10Series 9Series 63
Registered states (14): Alabama · Arizona · California · Colorado · Florida · Illinois · Louisiana · Massachusetts · Missouri · Montana · North Carolina · Tennessee · Texas · Washington
Years in the industry (source record): 39
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (9)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Houston, TX · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Houston, TX · BC capacity

start not retrieved → present
A. G. Edwards & Sons, Inc.
Houston, TX · BC capacity

Feb 5, 1991 → Jan 3, 2008
A. G. Edwards & Sons, Inc.
Houston, TX · IA capacity

Nov 15, 2002 → Jan 1, 2008
Lehman Brothers Inc.
New York, NY · BC capacity

Jun 22, 1989 → Feb 27, 1991
Union Planters Investment Bankers Group, Inc.
BC capacity

Jan 24, 1989 → May 17, 1989
Dover Group, Inc.
BC capacity

Dec 10, 1987 → Jan 27, 1988
Underwood, Neuhaus & Co., Incorporated
BC capacity

Aug 27, 1986 → Jun 3, 1987
Westcap Securities, Inc.
BC capacity

Jan 15, 1986 → Aug 20, 1986

Source & corrections

Where this page comes from

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Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.