Thomas Paul Charmley

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2018-09-04
CA	RA	APPROVED	2016-09-16
TX	RA	APPROVED_RES	2016-09-16

PA RA
APPROVED

Since 2018-09-04
CA RA
APPROVED

Since 2016-09-16
TX RA
APPROVED_RES

Since 2016-09-16

Branch Locations

Eagles Mere, PA • United States

150 N Radnor-Chester Rd Ste A100, Radnor, PA 19087 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley Smith Barney	San Rafael	CA	06/2009	09/2016
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	09/2016
Wells Fargo Advisors, Llc	San Rafael	CA	09/2016	11/2016
Wells Fargo Clearing Services, Llc	San Rafael	CA	11/2016	Present

06/2009 → 09/2016

Morgan Stanley Smith Barney

San Rafael, CA
01/2015 → 09/2016

Morgan Stanley Private Bank, National Association

New York, NY
09/2016 → 11/2016

Wells Fargo Advisors, Llc

San Rafael, CA
11/2016 → Present

Wells Fargo Clearing Services, Llc

San Rafael, CA

Previous Registrations

2009-06-29 → 2016-09-30

Morgan Stanley

Purchase, NY

San Rafael, CA
2003-05-05 → 2009-06-27

Citigroup Global Markets Inc.

New York, NY

San Rafael, CA

San Rafael, CA
2009-05-22 → 2009-05-29

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Mill Valley, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2003-05-01
S63	Uniform Securities Agent State Law Examination	2001-07-24

S65 Uniform Investment Adviser Law Examination

2003-05-01
S63 Uniform Securities Agent State Law Examination

2001-07-24