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Thomas Frank Goforth

Wells Fargo Clearing Services, LLC

Roanoke, VA

Charlottesville, VA

Locust Grove, VA

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Current Employers
Wells Fargo Clearing Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-07-21
VA RA APPROVED 2022-05-02
  • TX RA
    APPROVED_RES
    Since 2023-07-21
  • VA RA
    APPROVED
    Since 2022-05-02

Branch Locations

10 S Jefferson St Ste 2100 [V3/V8-Rbo], Roanoke, VA 24011 • United States

1625 Seminole Trail, Charlottesville, VA 22901 • United States

5505 Germanna Hwy, Locust Grove, VA 22508 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Tiaa Charlottesville VA 10/2006 11/2020
Tiaa-Cref Individual & Institutional Services, Llc Charlottesville VA 10/2006 11/2020
The Prudential Insurance Company Of America Charlottesville VA 01/2021 05/2022
Pruco Securities Llc Charlottesville VA 01/2021 05/2022
Wells Fargo Clearing Services, Llc Roanoke VA 05/2022 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-03-20
S63 Uniform Securities Agent State Law Examination 2000-12-04
  • S65 Uniform Investment Adviser Law Examination
    2007-03-20
  • S63 Uniform Securities Agent State Law Examination
    2000-12-04
Other Names
  • Thomas Frank Gorforth
  • Thomas Frank Goforth

View on SEC IAPD

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ELIZABETH ROBERTS THOMAS

Other Offices

COMMONWEALTH FINANCIAL NETWORK · Roanoke, VA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Roanoke, VA
CETERA INVESTMENT ADVISERS LLC · CAVE SPRING, VA
STATE FARM INVESTMENT MANAGEMENT CORP. · Roanoke, VA
TRUIST ADVISORY SERVICES, INC. · ROANOKE, VA
TRUIST ADVISORY SERVICES, INC. · ROANOKE, VA
LPL FINANCIAL LLC · ROANOKE, VA
HORNOR, TOWNSEND & KENT, LLC · ROANOKE, VA

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