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Clifton Wesley Thomas

Wells Fargo Clearing Services, LLC

Raleigh, NC

CRD 3130995

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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
TX RA APPROVED 2009-10-01
NC RA APPROVED 2003-07-01
  • TX RA
    APPROVED
    Since 2009-10-01
  • NC RA
    APPROVED
    Since 2003-07-01

Branch Locations

3105 Glenwood Ave Stes 201 & 302, Raleigh, NC 27612 • 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 Advisors Llc Raleigh NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Raleigh NC 11/2016 Present
Previous Registrations
  • 2001-12-31 → 2003-07-01
    Prudential Equity Group, Llc
    Raleigh, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-12-09
S63 Uniform Securities Agent State Law Examination 1998-12-02
  • S65 Uniform Investment Adviser Law Examination
    1998-12-09
  • S63 Uniform Securities Agent State Law Examination
    1998-12-02
Designations
  • Certified Financial Planner
Other Names
  • Wes Thomas
  • Clifton Wesley Thomas

View on SEC IAPD

Nearby Firms

TOWNSEND ASSET MANAGEMENT CORP.
FORTRESS PRIVATE LEDGER, LLC
OLDE RALEIGH FINANCIAL GROUP

Nearby Investors

ARNE W MORRIS
JAMES MICHAEL TARKENTON
CALEB ROBERT GRIFFITH

Nearby Offices

TOWNSEND ASSET MANAGEMENT CORP. · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
OLDE RALEIGH FINANCIAL GROUP · RALEIGH, NC

More in Raleigh, NC

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