DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

NICHOLAS BARNETT

Advisor at WELLS FARGO ADVISORS

NEWPORT BEACH, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c13cc1b1-328e-d297-5b67-b6958236149e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Dec 15, 2009 to Sep 14, 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: Jul 21, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Jul 21, 2007
First registration: Dec 15, 2009
Dual registered: yes, broker-dealer
Other names: NICK ROBERT BARNETT|NICHOLAS ROBERT BARNETT
IAPD individual key: 5232973

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	Feb 6, 2025	n/a	yes	NEWPORT BEACH, CA	Current employment
RBC SECURITIES, INC.	Bd affiliated wealth	Jul 6, 2016	Feb 27, 2025	no	LOS ANGELES, CA\|Newport Beach, CA\|Lake Forest, CA	Previous registration
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Aug 11, 2014	Jul 5, 2016	no	NEWPORT BEACH, CA	Previous registration
USAA FINANCIAL PLANNING SERVICES	Former SEC adviser	Jun 7, 2011	Jul 16, 2014	no	SAN DIEGO, CA\|OCEANSIDE, CA	Previous registration
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Aug 25, 2010	May 9, 2011	no	LONG BEACH, CA\|LONG BEACH, CA\|LONG BEACH, CA\|WESTMINSTER, CA\|Garden Grove, CA\|Huntington Beach, CA\|Newport Beach, CA\|IRVINE, CA\|IRVINE, CA	Previous registration
MORGAN STANLEY	Wirehouse	Dec 15, 2009	Jul 21, 2010	no	Laguna Niguel, CA	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
RBC SECURITIES, INC.	WELLS FARGO ADVISORS	Feb 27, 2025	Feb 6, 2025	-21	Firm change	RIA to wirehouse
ADVICE AND PLANNING SERVICES	RBC SECURITIES, INC.	Jul 5, 2016	Jul 6, 2016	1	Firm change	Other
USAA FINANCIAL PLANNING SERVICES	ADVICE AND PLANNING SERVICES	Jul 16, 2014	Aug 11, 2014	26	Firm change	Other
U.S. BANCORP ADVISORS, LLC	USAA FINANCIAL PLANNING SERVICES	May 9, 2011	Jun 7, 2011	29	Firm change	Other
MORGAN STANLEY	U.S. BANCORP ADVISORS, LLC	Jul 21, 2010	Aug 25, 2010	35	Firm change	Other

Relationships

Registered with (6)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Feb 6, 2025 to presentfactForm ADV
→ RBC SECURITIES, INC.Registered adviserregistration: previous registration
Jul 6, 2016 to Feb 27, 2025factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Aug 11, 2014 to Jul 5, 2016factForm ADV
→ USAA FINANCIAL PLANNING SERVICESRegistered adviserregistration: previous registration
Jun 7, 2011 to Jul 16, 2014factForm ADV
→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: previous registration
Aug 25, 2010 to May 9, 2011factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Dec 15, 2009 to Jul 21, 2010factForm ADV

Dated events

Occurred
Feb 27, 2025
Advisor changed firm
Nicholas Barnett left Rbc Securities, Inc. for Wells Fargo Advisors (registered 2025-02-06)
Form ADVobserved 6 days ago