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Alex Nicholas Wachter

Wells Fargo Securities, LLC

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About Alex Nicholas Wachter

Alex Nicholas Wachter is a financial professional with over 10 years of experience in the industry. Alex is currently registered with Wells Fargo Securities, LLC and holds multiple licenses and designations including Series 7, Series 63, SIE, and Series 99TO. Alex has a strong track record of success in helping clients achieve their financial goals. Prior to joining Wells Fargo Securities, LLC, Alex was employed with Wells Fargo Clearing Services, LLC and TD Ameritrade, Inc. Alex is dedicated to providing exceptional client service and is committed to helping clients make informed financial decisions.

Firm Information

Alex Wachter is currently registered with Wells Fargo Securities, LLC. Wells Fargo Securities, LLC is a Limited Liability Company formed in March 2003. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

1,325

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Alex Wachter’s Registration & Firm History

NE

06/20/2017 - Present

Wells Fargo Securities, LLC (OMAHA NE)

NE

04/09/2015 - 07/11/2017

WELLS FARGO CLEARING SERVICES, LLC (OMAHA NE)

NE

12/19/2013 - 04/07/2015

TD AMERITRADE, INC. (OMAHA NE)

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Licenses & Designations

BC

Issued 01/03/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/19/2013

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Alex Nicholas Wachter.
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