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Nicholas Guccia Resigned from Wells Fargo

Nicholas Guccia (CRD #: 6370707), a broker registered with Pruco Securities, voluntarily resigned from Wells Fargo in September 2023. This disclosure appears on his BrokerCheck record, accessed on November 14, 2023. Keep reading if you have questions. 

On September 15, 2023, Nicholas Guccia voluntarily resigned from Wells Fargo following allegations that, at the time of his resignation, the firm had opened an internal review regarding his compliance with the firm’s communications policy related to business communications involving e-mail. 

FINRA Rule 2210

FINRA Rule 2210 defines how firms and brokers are permitted to communicate with the public. This rule requires all communications with the public to be fair, balanced, and free from any false or misleading statements.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violating a firm’s communications policy may violate this rule. 

Background Information 

Nicholas Guccia has passed the following exams: 

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 

He is a registered investment adviser and broker in Georgia. 

During his seven years of experience, he has registered with six firms: 

  • Pruco Securities (CRD #: 5685) 
  • Prudential Financial Planning Services (CRD #: 5685) 
  • Wells Fargo Clearing Services (CRD #: 19616) 
  • Cetera Investment Advisers (CRD #: 105644) 
  • Cetera Investment Services (CRD #: 15340) 
  • LPL Financial (CRD #: 6413) 
  • Foresters Financial Services (CRD #: 305) 

Kurta Law Can Help

If you worked with Nicholas Guccia and have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.