Nicholas Jay Roberts

CRD 5041608 · Wells Fargo Advisors · Sandy, UT

IA RegisteredBroker

Also appears in the source record as: Nicholas Jay Roberts Mr.

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 31Series 7Series 66
Registered states (12): California · Florida · Idaho · Illinois · New Hampshire · New Mexico · Ohio · Oregon · Pennsylvania · Texas · Utah · Washington
Years in the industry (source record): 19
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 5041608 contains one or more disclosure events as of Aug 20, 2026.

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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 (8)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Sandy, UT · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Sandy, UT · BC capacity

start not retrieved → present
Morgan Stanley
Holladay, UT · IA capacity

Jun 1, 2009 → Sep 12, 2022
Morgan Stanley
Holladay, UT · BC capacity

Jun 1, 2009 → Sep 12, 2022
Morgan Stanley & Co. Incorporated
South Jordan, UT · IA capacity

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley & Co. Incorporated
South Jordan, UT · BC capacity

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley
West Valley City, UT · IA capacity

Feb 8, 2007 → Apr 2, 2007
Morgan Stanley Dw Inc.
West Valley City, UT · BC capacity

Oct 6, 2006 → Apr 2, 2007

Source & corrections

Where this page comes from

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