Nicholas Barnett

CRD 5232973 · Wells Fargo Advisors · Newport Beach, CA

IA RegisteredBroker

Also appears in the source record as: Nicholas Robert Barnett; Nick Robert Barnett

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 31Series 7Series 6Series 66Series 63
Registered states (7): Arizona · Arkansas · California · Maryland · Nevada · Oregon · Virginia
Years in the industry (source record): 19
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 (14)

From the source registration record · current first

Wells Fargo Clearing Services, LLCCurrent
Newport Beach, CA · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Newport Beach, CA · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Newport Beach, CA · IA capacity

start not retrieved → present
City National Securities, Inc.
Newport Beach, CA · IA capacity

Jul 6, 2016 → Feb 27, 2025
City National Securities, Inc.
Newport Beach, CA · BC capacity

Jul 6, 2016 → Feb 27, 2025
Advice And Planning Services
Newport Beach, CA · IA capacity

Aug 11, 2014 → Jul 5, 2016
Tiaa-Cref Individual & Institutional Services, LLC
Newport Beach, CA · BC capacity

Aug 11, 2014 → Jul 5, 2016
Usaa Financial Planning Services
Oceanside, CA · IA capacity

Jun 7, 2011 → Jul 16, 2014
Usaa Financial Advisors, Inc.
Oceanside, CA · BC capacity

Jun 6, 2011 → Jul 16, 2014
Unionbanc Investment Services, LLC
Newport Beach, CA · IA capacity

Aug 25, 2010 → May 9, 2011
Unionbanc Investment Services, LLC
Newport Beach, CA · BC capacity

Aug 25, 2010 → May 9, 2011
Morgan Stanley Smith Barney LLC
Laguna Niguel, CA · IA capacity

Dec 15, 2009 → Jul 21, 2010
Morgan Stanley Smith Barney
Laguna Niguel, CA · BC capacity

Sep 14, 2009 → Jul 21, 2010
Atlas Securities, LLC
Laguna Beach, CA · BC capacity

Jan 2, 2007 → Feb 1, 2007

Source & corrections

Where this page comes from

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