Thomas Frederick Moriarty

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

• 06/2013 → 11/2016
  Wells Fargo Advisors, Llc
  Raleigh, NC
• 11/2011 → Present
  Tfm, Llc
  Cary, NC
• 11/2016 → Present
  Wells Fargo Clearing Services, Llc
  Raleigh, NC

Other Businesses

RENTAL PROPERTY; INV. RELATED; MORGANTON, NC; OWNER; START DATE 7/2017; 1 HR PER MONTH; 0 HRS DURING TRADING; DUTIES: UPKEEP ON HOME, COLLECT RENT, RENT OUT WHEN VACANT. ASHE HOME CARE, INC., NOT INV. RELATED, 100% OWNERSHIP WTIH SPOUSE, WEST JEFFERSON, NC. START: 7/1/2017, 10 HOURS/MONTH, 0 DURING TRADING, PROVIDES IN HOME HEALTHCARE FOR THE DISABLED. RENTAL PROPERTY; INVESTMENT RELATED; BOONE,NC; 100% OWNERSHIP WITH SPOUSE; START DATE 08/01/2019; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; MAINTAINING THE PROPERTY AND DOING THE PAPERWORK. RENTAL PROPERTY; INVESTMENT RELATED; BOONE,NC; 100% OWNERSHIP WITH SPOUSE; START DATE 09/15/2019; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; COLLECTING RENT AND THE OCCASIONAL MAINTENANCE. RENTAL PROPERTY; INVESTMENT RELATED; BOONE,NC; 100% OWNERSHIP; START DATE 09/1/2022; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; OWNER. RENTAL PROPERTY; INVESTMENT RELATED; BOONE,NC; 100% OWNERSHIP; START DATE 07/1/2022; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; OWNER. | COMMERCIAL RENTAL PROPERTY; INV RELATED; LEXINGTON, NC; 100% OWNERSHIP WITH SPOUSE; 02/2024; 1 HOUR PER MONTH; NO HOURS DURING TRADING; COMMERCIAL RENTAL WAREHOUSE

Exams

• S66 Uniform Combined State Law Examination
  2013-04-25
• S63 Uniform Securities Agent State Law Examination
  2007-02-12

Other Names

• Thomas F Moriarty
• Thomas Frederick Moriarty