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Nicholas A Faltz

Wells Fargo Securities, LLC

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About Nicholas A Faltz

Nicholas Faltz is a financial advisor at Wells Fargo Securities, LLC, working out of the Charlotte office. Nicholas has been in the financial industry for over 2 years and has experience at UBS Financial Services Inc. as well. Nicholas specializes in working with clients on a variety of financial planning needs, including investment management, retirement planning, and insurance. Nicholas is registered to sell securities in North Carolina.

Firm Information

Nicholas Faltz 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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Nicholas Faltz’s Registration & Firm History

NC

08/08/2022 - Present

Wells Fargo Securities, LLC (CHARLOTTE NC)

NC

11/03/2020 - 10/21/2021

UBS FINANCIAL SERVICES INC. (CHARLOTTE NC)

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Licenses & Designations

BOTH

Issued 12/21/2020

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/02/2023

Series 22TO - Direct Participation Programs 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 11/03/2020

Series 7TO - General Securities Representative Examination

BC

Issued 01/14/2020

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 Nicholas A Faltz.
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