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Thomas Duke Penrose

Wells Fargo Clearing Services, LLC

Philadelphia, PA

CRD 6655535

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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

AuthorityCategoryStatusDate
PA RA APPROVED 2023-06-27
TX RA APPROVED 2023-06-27
  • PA RA
    APPROVED
    Since 2023-06-27
  • TX RA
    APPROVED
    Since 2023-06-27

Branch Locations

100 N 18Th St 22Nd Fl Two Logan Square, Philadelphia, PA 19103 • 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
OrganizationCityStateFromTo
Wells Fargo Clearing Services, Llc Philadelphia PA 05/2022 Present
Loriann, Llc Philadelphia PA 09/2019 06/2020
Us Tech Philadelphia PA 09/2021 05/2022
Unemployed Swedesboro NJ 06/2020 09/2021
Pennsylvania State University State College PA 08/2014 09/2019
  • 05/2022 → Present
    Wells Fargo Clearing Services, Llc
    Philadelphia, PA
  • 09/2019 → 06/2020
    Loriann, Llc
    Philadelphia, PA
  • 09/2021 → 05/2022
    Us Tech
    Philadelphia, PA
  • 06/2020 → 09/2021
    Unemployed
    Swedesboro, NJ
  • 08/2014 → 09/2019
    Pennsylvania State University
    State College, PA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-06-20
  • S66 Uniform Combined State Law Examination
    2023-06-20
Other Names
  • Thomas Penrose

View on SEC IAPD

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