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Nelly Esperanza

Wells Fargo Securities, LLC

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About Nelly Esperanza

Nelly Esperanza is a financial professional with Wells Fargo Securities, LLC. Nelly has been in the industry since 2021. Nelly holds the Series 6, 7, 79, 82, 99 and Series 63 licenses. Nelly is also registered in North Carolina. Previously, Nelly worked at BOFA Securities, INC. in New York, NY.

Firm Information

Nelly Esperanza 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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Nelly Esperanza’s Registration & Firm History

NC

08/02/2022 - Present

Wells Fargo Securities, LLC (CHARLOTTE NC)

NY

10/13/2021 - 06/20/2022

BOFA SECURITIES, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/12/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/17/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 82TO - Limited Representative-Private Securities Offerings

BC

Issued 01/02/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 22TO - Direct Participation Programs Representative Examination

BC

Issued 10/13/2021

Series 7TO - General Securities Representative Examination

BC

Issued 08/02/2021

SIE - Securities Industry Essentials 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 Nelly Esperanza.
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