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Scott David Thompson

Wells Fargo Clearing Services, LLC

Tarpon Springs, FL

Dallas, TX

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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 2012-09-03
  • TX RA
    APPROVED
    Since 2012-09-03

Branch Locations

101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • United States

8115 Preston Rd Ste 300, Dallas, TX 75225 • 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 Bank Na Dallas TX 04/2012 Present
Wells Fargo Advisors Llc Dallas TX 05/2012 11/2016
Wells Fargo Clearing Services, Llc Dallas TX 11/2016 Present
  • 04/2012 → Present
    Wells Fargo Bank Na
    Dallas, TX
  • 05/2012 → 11/2016
    Wells Fargo Advisors Llc
    Dallas, TX
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Dallas, TX
Previous Registrations
  • 2002-04-11 → 2003-10-14
    Banc One Securities Corporation
    Dallas, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-09-01
S63 Uniform Securities Agent State Law Examination 1999-11-19
  • S66 Uniform Combined State Law Examination
    2012-09-01
  • S63 Uniform Securities Agent State Law Examination
    1999-11-19

View on SEC IAPD

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