Nicholas H. Harper (CRD #2767911, Topeka, Kansas) Alternate Names: NICHOLAS HANSEN HAPER, NICHOLAS HANSEN JARPER
was barred by FINRA for allegedly refusing to appear for FINRA-requested testimony involving an investigation into his trading in client accounts.
(FINRA Case #2013038203401)
Nicholas H. Harper is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients).
Nicholas H. Harper was previously registered with the following firm:
10/1997 – 09/2013 WELLS FARGO ADVISORS, LLC (CRD# 19616) – TOPEKA, KS
This ends the information obtained on FINRA’s Website July 2015.
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