Thomas Alan Fliss

Wells Fargo Clearing Services, LLC

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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

Authority	Category	Status	Date
GA	RA	APPROVED	2022-06-06

GA RA
APPROVED

Since 2022-06-06

Branch Locations

2200 Mountain Industrial Blvd, Tucker, GA 30084 • United States

5505 Lawrenceville Hwy Nw, Lilburn, GA 30047 • United States

2055 Sugarloaf Circle [G8-Rbo], Duluth, GA 30097 • 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
Investment Professionals, Inc.	San Antonio	TX	07/2011	08/2018
Ameriprise Financial Services, Inc.	Coushatta	LA	09/2018	06/2022
Wells Fargo Clearing Services, Llc	Atlanta	GA	06/2022	Present

07/2011 → 08/2018

Investment Professionals, Inc.

San Antonio, TX
09/2018 → 06/2022

Ameriprise Financial Services, Inc.

Coushatta, LA
06/2022 → Present

Wells Fargo Clearing Services, Llc

Atlanta, GA

Previous Registrations

2018-09-11 → 2022-06-09

Ameriprise Financial Services, Llc

Coushatta, LA
2011-11-17 → 2018-09-11

Investment Professionals, Inc.

San Antonio, TX

Coushatta, LA

Little Rock, AR

San Antonio, TX
2007-01-16 → 2011-07-08

Edward Jones

Shreveport, LA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2022-04-20
S63	Uniform Securities Agent State Law Examination	2003-02-21

S65 Uniform Investment Adviser Law Examination

2022-04-20
S63 Uniform Securities Agent State Law Examination

2003-02-21

View on SEC IAPD

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