Thomas James Gatto

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
NY	RA	APPROVED	2021-07-27
TX	RA	APPROVED	2021-02-11
CT	RA	APPROVED	2010-10-13
NJ	RA	APPROVED	2007-07-03

NY RA
APPROVED

Since 2021-07-27
TX RA
APPROVED

Since 2021-02-11
CT RA
APPROVED

Since 2010-10-13
NJ RA
APPROVED

Since 2007-07-03

Branch Locations

3 Pleasantville Rd, Ossining, NY 10562 • United States

767 5Th Ave 33Rd Fl [Y5-Rbo], New York, NY 10153 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Ossining	NY	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Ossining	NY	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Ossining, NY
11/2016 → Present

Wells Fargo Clearing Services, Llc

Ossining, NY

Other Businesses

RENTAL PROPERTY, INV RELATED, NARRAGANSETT, RI, 100% OWNERSHIP, START 6/13/2017, ZERO HOURS PER MONTH, LANDLORD. 27 CONGDON STREET, LLC, INVT RELATED, NARRAGANSETT, RI, 100% OWNERSHIP, START DATE 7/13/2017, 1 HR PER MONTH, 0 HRS DURING TRADING, OWNER/MAINTENANCE. RENTAL PROPERTY; INV. RELATED; BABSON PARK,FL; 100% OWNERSHIP INCLUDING WIFE; START DATE 12/13/2021; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; OWNER.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-06-29
S63	Uniform Securities Agent State Law Examination	1998-04-02

S65 Uniform Investment Adviser Law Examination

2007-06-29
S63 Uniform Securities Agent State Law Examination

1998-04-02

Other Names

Thomas Gatto

View on SEC IAPD