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Thomas E Dotson

Wells Fargo Clearing Services, LLC

Johnson City, TN

Jonesborough, TN

CRD 3112703

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Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

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
TN RA APPROVED 2012-05-22
TX RA APPROVED_RES 2010-07-28
FL RA APPROVED 2008-01-01
  • TN RA
    APPROVED
    Since 2012-05-22
  • TX RA
    APPROVED_RES
    Since 2010-07-28
  • FL RA
    APPROVED
    Since 2008-01-01

Branch Locations

203 Broyles Dr Ste 200, Johnson City, TN 37601 • United States

Jonesborough, TN • 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
Wells Fargo Advisors Llc Saint Augustine FL 05/2009 11/2016
Wells Fargo Clearing Services, Llc Saint Augustine FL 11/2016 Present
Previous Registrations
  • 2002-03-11 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    St. Augustine, FL
    St. Louis, MO
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-10-16
  • S63 Uniform Securities Agent State Law Examination
    1998-10-16
Other Names
  • Duke Dotson
  • Thomas Edward Dotson

View on SEC IAPD

Nearby Firms

LPL FINANCIAL LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
UBS FINANCIAL SERVICES INC.

Nearby Investors

ROBERT KEITH HOBBS
SONYA KAYE HENSLEY
URIL DUANE PETERSON

Nearby Offices

LPL FINANCIAL LLC · JOHNSON CITY, TN
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Johnson City, TN
UBS FINANCIAL SERVICES INC. · JOHNSON CITY, TN

More in Johnson City, TN

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