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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

NICK KALOYIOS

Advisor at WELLS FARGO ADVISORS

BOCA RATON, FL | STUART, FL | DEERFIELD BEACH, FL

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Search this name across graphsid dfx:ria:05eb23e1-0396-5aa0-3cb0-8fab6fcd2305

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: Jun 4, 2009 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 4, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Jun 20, 2019
First registration: Jun 4, 2009
Dual registered: yes, broker-dealer
Other names: NICK KALOYIOS|Nick Kaloyios|Nick Kaloyios
IAPD individual key: 2443368

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Oct 10, 2024	n/a	yes	STUART, FL\|BOCA RATON, FL\|DEERFIELD BEACH, FL	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 14, 2022	Aug 19, 2024	no	PLANTATION, FL	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Nov 3, 2021	May 9, 2022	no	DEERFIELD, FL	Previous registration
DAWSON JAMES ASSET MANAGEMENT, INC.	State registered	Aug 11, 2021	Oct 12, 2021	no	BOCA RATON, FL	Previous registration
CUNA BROKERAGE SERVICES, INC.	Former SEC adviser	Aug 21, 2019	Aug 5, 2021	no	Boca Raton, FL\|WAVERLY, IA\|Fort Pierce, FL\|Stuart, FL\|Sebastian, FL\|Fort Pierce, FL	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Dec 3, 2013	May 12, 2015	no	Miramar, FL\|Plantation, FL	Previous registration
ASSET & FINANCIAL PLANNING, LTD	Former SEC adviser	Jan 19, 2012	Nov 12, 2013	no	AVENTURA, FL	Previous registration
HARBOR FINANCIAL SERVICES, LLC	Former SEC adviser	Oct 7, 2011	Oct 27, 2011	no	DALLAS, TX\|MOBILE, AL\|STUART, FL	Previous registration
SUNTRUST INVESTMENT SERVICES, INC.	Former SEC adviser	Jun 4, 2009	Aug 23, 2010	no	WESTON, FL\|WESTON, FL\|DAVIE, FL\|MIRAMAR, FL\|MIRAMAR, FL\|PLANTATION, FL\|CORAL SPRINGS, FL\|FORT LAUDERDALE, FL\|COCONUT CREEK, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	Aug 19, 2024	Oct 10, 2024	52	Firm change	Wirehouse to wirehouse
SECURITIES AMERICA ADVISORS, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 9, 2022	Jun 14, 2022	36	Firm change	Ibd to wirehouse
DAWSON JAMES ASSET MANAGEMENT, INC.	SECURITIES AMERICA ADVISORS, INC.	Oct 12, 2021	Nov 3, 2021	22	Firm change	Other
CUNA BROKERAGE SERVICES, INC.	DAWSON JAMES ASSET MANAGEMENT, INC.	Aug 5, 2021	Aug 11, 2021	6	Firm change	Ibd to state RIA
PRINCIPAL SECURITIES, INC.	CUNA BROKERAGE SERVICES, INC.	May 12, 2015	Aug 21, 2019	1,562	Firm change after gap	Other
ASSET & FINANCIAL PLANNING, LTD	PRINCIPAL SECURITIES, INC.	Nov 12, 2013	Dec 3, 2013	21	Firm change	Other
HARBOR FINANCIAL SERVICES, LLC	ASSET & FINANCIAL PLANNING, LTD	Oct 27, 2011	Jan 19, 2012	84	Firm change	Other
SUNTRUST INVESTMENT SERVICES, INC.	HARBOR FINANCIAL SERVICES, LLC	Aug 23, 2010	Oct 7, 2011	410	Firm change after gap	Other

Relationships

Registered with (9)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Oct 10, 2024 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 14, 2022 to Aug 19, 2024factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Nov 3, 2021 to May 9, 2022factForm ADV
→ DAWSON JAMES ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Aug 11, 2021 to Oct 12, 2021factForm ADV
→ CUNA BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
Aug 21, 2019 to Aug 5, 2021factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Dec 3, 2013 to May 12, 2015factForm ADV
→ ASSET & FINANCIAL PLANNING, LTDRegistered adviserregistration: previous registration
Jan 19, 2012 to Nov 12, 2013factForm ADV
→ HARBOR FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 7, 2011 to Oct 27, 2011factForm ADV
→ SUNTRUST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Jun 4, 2009 to Aug 23, 2010factForm ADV

Dated events

Occurred
Aug 19, 2024
Advisor changed firm
Nick Kaloyios left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Wells Fargo Advisors (registered 2024-10-10)
Form ADVobserved 4 days ago
Occurred
May 9, 2022
Advisor changed firm
Nick Kaloyios left Securities America Advisors, Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-06-14)
Form ADVobserved 4 days ago