Thaxton Thrasher Peterson

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

Authority	Category	Status	Date
TX	RA	APPROVED	2023-10-31
AZ	RA	APPROVED	2022-05-05

TX RA
APPROVED

Since 2023-10-31
AZ RA
APPROVED

Since 2022-05-05

Branch Locations

8601 N Scottsdale Rd Ste 100 [Va-Rbo], Scottsdale, AZ 85253 • 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

Organization	City	State	From	To
Morgan Stanley	Phoenix	AZ	02/2013	04/2022
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	04/2022
Wells Fargo Clearing Service, Llc	Scottsdale	AZ	04/2022	Present
Morgan Stanley Private Bank, N.A	New York	NY	01/2015	Present

02/2013 → 04/2022

Morgan Stanley

Phoenix, AZ
01/2015 → 04/2022

Morgan Stanley Private Bank, National Association

New York, NY
04/2022 → Present

Wells Fargo Clearing Service, Llc

Scottsdale, AZ
01/2015 → Present

Morgan Stanley Private Bank, N.A

New York, NY

Previous Registrations

2013-02-14 → 2022-05-02

Morgan Stanley

Phoenix, AZ

Flagstaff, AZ
2008-11-14 → 2013-02-11

Ubs Financial Services Inc.

Phoenix, AZ
1998-12-16 → 2008-11-18

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Phoenix, AZ

Phoenix, AZ

Other Businesses

THRASHER WHOLESALE AUTO LLC, INVT RELATED, PARADISE VALLEY, AZ, 100% OWNERSHIP, START DATE 11/20/2007, 1 HR PER MONTH, 0 HRS DURING TRADING, OWN AUTOMOBILES AND ESTATE PLANNING.; OMRYTORY LLP, INVT RELATED, PARADISE VALLEY, AZ, 100% OWNERSHIP, START DATE 11/20/2002, 1 HR PER MONTH, 0 HRS DURING TRADING, ESTATE PLANNING.; RED STAGG LLC, INVT RELATED, FLAGSTAFF, AZ, 100% OWNERSHIP, START DATE 8/1/2018, 0 HRS PER MONTH, 0 HRS DURING TRADING, MANAGER, OWNS SECOND HOME.; TRUSTEE FOR MOTHER'S TRUST, INV RELATED, PARADISE VALLEY, AZ, START: 3/6/2013, 1 HR/MONTH, 0 HRS DURING TRADING.; SARA PETERSON PLLC, NOT INVT RELATED, PHOENIX, AZ, ASSISTANT, START DATE 7/1/2022, 40 HRS PER MONTH, 0 HRS DURING TRADING, ASSISTANT IN WIFES RETAIL CLOTHING BUSINESS. NOT AN OWNER. RENTAL PROPERTY; INV. RELATED; SCOTTSDALE, AZ; 100% OWNERSHIP; START DATE: 10/25/2024; 1 HR PER MONTH; 0 HRS DURING TRADING.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1998-08-28

S66 Uniform Combined State Law Examination

1998-08-28

Designations

Certified Financial Planner

Other Names

Peter Peterson
Thaxton T Peterson

View on SEC IAPD