Thomas Lynn Stotz

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2008 → 03/2019
  Ubs Financial Services Inc
  Oakbrook, IL
• 03/2019 → Present
  Wells Fargo Clearing Services Llc
  Oak Brook, IL

Previous Registrations

• 2008-11-07 → 2019-04-09
  Ubs Financial Services Inc.
  Oakbrook Terrace, IL
• 2003-07-01 → 2008-11-10
  Wells Fargo Clearing Services, Llc
  Oak Brook, IL
  Oak Brook, IL
• 2000-09-01 → 2003-07-01
  Prudential Equity Group, Llc
  Oakbrook Terrace, IL

Other Businesses

RENTAL PROPERTY, INVT RELATED, ISLE OF PALMS, SC, 100% OWNERSHIP WITH SPOUSE, START DATE 8/1/2022, 8 HRS PER MONTH, 1 HR DURING TRADING, OWNER OF RENTAL PROPERTY. DTS4 PROPERTIES, LLC, INVT RELATED, ISLE OF PALMS, SC, 100% OWNERSHIP WITH SPOUSE, START DATE 7/29/2022, 4 HRS PER MONTH, 0 HRS DURING TRADING, TO HOLD RENTAL PROPERTY.

Exams

• S66 Uniform Combined State Law Examination
  1997-12-02

Other Names

• Thomas L Stotz
• Tom Stotz