David Nicholson

CRD 2771915 · Wells Fargo Advisors · St. Louis, MO

IA RegisteredBroker

Also appears in the source record as: David Matthew Nicholson

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (11): Series 57TOSeries 52TOSIESeries 55Series 7Series 53Series 24Series 4Series 14Series 8Series 63
Registered states (1): California
Years in the industry (source record): 27
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: 11025
SEC number: 801-57434
Assets under management: $252.3B as of Jun 3, 2026
Website: stories.wf.com ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (21)

From the source registration record · current first

Wells Fargo Clearing Services, LLCCurrent
Los Angeles, CA · BC capacity

start not retrieved → present
Wells Fargo Advisors Financial Network, LLCCurrent
St. Louis, MO · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Culver City, CA · IA capacity

start not retrieved → present
Wells Fargo Advisors Financial Network, LLCCurrent
Los Angeles, CA · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Los Angeles, CA · IA capacity

start not retrieved → present
Wells Fargo Advisors Financial Network, LLCCurrent
St. Louis, MO · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Culver City, CA · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Los Angeles, CA · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Los Angeles, CA · IA capacity

start not retrieved → present
Signature Estate Securities, LLC
Los Angeles, CA · BC capacity

Aug 23, 2023 → Sep 9, 2024
Seia
Los Angeles, CA · IA capacity

Apr 10, 2018 → Sep 9, 2024
Osaic Wealth, Inc.
Los Angeles, CA · BC capacity

Nov 2, 2018 → Aug 23, 2023
Signator Investors, Inc.
Los Angeles, CA · BC capacity

Aug 22, 2017 → Nov 2, 2018
Bma Securities, LLC
El Segundo, CA · BC capacity

Aug 21, 2013 → Jun 8, 2017
City National Securities, Inc.
Beverly Hills, CA · IA capacity

Aug 16, 2012 → Feb 27, 2013
City National Securities, Inc.
Beverly Hills, CA · BC capacity

Jul 21, 2006 → Feb 27, 2013
Afa Advisor Services LLC
Calabasas, CA · IA capacity

Jun 22, 2006 → Jul 14, 2006
Afa Financial Group, LLC
Calabasas, CA · BC capacity

Dec 9, 2005 → Jul 11, 2006
Wedbush Morgan Securities Inc.
Pasadena, CA · BC capacity

Sep 10, 2002 → Jan 3, 2006
Charles Schwab & Co., Inc.
Westlake, TX · BC capacity

Aug 23, 1999 → Dec 3, 2001
Waterhouse Securities, Inc.
Omaha, NE · BC capacity

Nov 5, 1996 → Jul 20, 1999

Source & corrections

Where this page comes from

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