Thomas Charles Dexter

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	2026-04-14
CT	RA	APPROVED	2026-04-09
TX	RA	APPROVED_RES	2026-04-01

NY RA
APPROVED

Since 2026-04-14
CT RA
APPROVED

Since 2026-04-09
TX RA
APPROVED_RES

Since 2026-04-01

Branch Locations

2500 Westchester Ave Ste 201 [C3-Rbo], Purchase, NY 10577 • United States

44 Old Ridgefield Rd, Wilton, CT 06897 • 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 No
Termination Yes

Employment History

Organization	City	State	From	To
Commonwealth Strategic Advisory Llc	Stamford	CT	12/2013	03/2019
Lpl Financial, Llc	Wilton	CT	03/2019	03/2026
Wells Fargo Clearing Services, Llc	Purchase	NY	03/2026	Present

12/2013 → 03/2019

Commonwealth Strategic Advisory Llc

Stamford, CT
03/2019 → 03/2026

Lpl Financial, Llc

Wilton, CT
03/2026 → Present

Wells Fargo Clearing Services, Llc

Purchase, NY

Previous Registrations

2019-03-22 → 2026-04-08

Lpl Financial Llc

Wilton, CT

Paramus, NJ

Westport, CT

Norwalk, CT
2014-10-08 → 2018-10-11

Commonwealth Strategic Advisory

New Canaan, CT
2012-10-08 → 2013-12-23

Barclays Capital Inc.

New York, NY
2008-09-22 → 2012-06-01

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY
2004-10-05 → 2008-10-02

Lehman Brothers Inc.

New York, NY

New York, NY

New York, NY
2001-10-25 → 2004-09-03

Morgan Stanley & Co. Llc

Washington, DC

Other Businesses

TRAIN2XCEL; NOT INV RELATED;RIDGEFIELD ,CT; HEALTH, WELLNESS AND PERFORMANCE TRAINING; COACH; START DATE: 12/01/2022; 16 HRS PER MONTH; 0 HRS DURING TRADING; | TODD DURKIN ENTERPRISES; NOT INV RELATED;SAN DIEGO,CA; PROVIDE COACHING AND PERSONAL DEVELOPMENT.; COACH; START DATE: 05/01/2023; 5 HRS PER MONTH; 0 HRS DURING TRADING;

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2019-03-18
S65	Uniform Investment Adviser Law Examination	1998-02-03

S63 Uniform Securities Agent State Law Examination

2019-03-18
S65 Uniform Investment Adviser Law Examination

1998-02-03

Other Names

Tom Dexter

View on SEC IAPD