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Nicholas Maffeo

Wells Fargo Advisors
40 Years of Experience
Palm Desert, CA
3 DisclosuresBroker
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Nicholas Maffeo is a registered investment advisor at Wells Fargo Advisors, based in Palm Desert, CA, with 40 years of industry experience. Nicholas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,324,168 clients with $670B in assets under management.

Wells Fargo Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14699 advisors
IM Fee
Planning only
Assets Under Management
$671.4B

Fee Structure

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

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Location

74245 Hwy 111 Ste 203, Palm Desert, CA, 92260

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2002
Denied
Customer Dispute
November 2001
Closed-No Action
Customer Dispute
November 1991
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Wells Fargo Advisors
January 2002 - Present · 24 yrs 9 mos
Wells Fargo Clearing Services, LLCBroker
November 2001 - Present · 24 yrs 11 mos
Wells Fargo Clearing Services, LLC
November 2001 - Present · 24 yrs 11 mos
Previous Registrations
Prudential Securities IncorporatedBroker
January 1990 - November 2001 · 11 yrs 10 mos
Shearson Lehman Hutton INC.Broker
February 1988 - February 1990 · 2 yrs
E. F. Hutton & Company INCBroker
February 1986 - February 1988 · 2 yrs
State Registrations16 states
AZCAFLGAMEMIMOMTNCNVNYOHORPAVAWA
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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