Nancy E. Nickerson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nancy Elaine Nickerson, who also goes by Nancy Elaine Elrod, Nancy Nickerson, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1987. Nancy had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2011 - April 13, 2020
WELLS FARGO SECURITIES, LLC
May 25, 2009 - April 28, 2010
FIRST CLEARING, LLC
July 17, 2001 - June 4, 2007
SCOTT & STRINGFELLOW, LLC
July 13, 1998 - August 14, 2001
ADVEST, INC.
May 14, 1996 - June 25, 1998
SUNCOAST CAPITAL GROUP, LTD.
October 12, 1995 - May 15, 1996
GRUNTAL & CO., L.L.C.
June 15, 1995 - May 15, 1996
GMS GROUP
August 18, 1994 - June 13, 1995
MERIDIAN SECURITIES, INC.
January 14, 1993 - August 18, 1994
MARCUS, STOWELL & BEYE, INC.
July 28, 1987 - August 20, 1994
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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