Thomas Patrick Haugh

Employer firm

Wells Street Advisors, LLC CRD 166700

$475.0K regulatory AUM 1 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/1985 → Present
  Pti Securities & Futures L. P.
  Chicago, IL
• 01/2019 → Present
  Wells Street Advisors, Llc
  Chicago, IL
• 01/2019 → 01/2024
  Najarian Family Office
  Chicago, IL

Previous Registrations

• 2021-03-24 → 2024-02-28
  Rebellion Asset Management, Llc
  Chicago, IL

Other Businesses

Tom Haugh is a control person and Chief Investment Officer of PTI Securities & Futures L.P., a FINRA member registered broker-dealer, and WSA. WSA is wholly owned by PTI Securities. WSA professionals who effect transactions for advisory clients may receive transaction or commission compensation from PTI. The recommendation of securities transactions for commission creates a conflict of interest in that WSA is economically incented to effect securities transactions for clients. Although WSA strives to put its clients' interests first, such recommendations may be viewed as being in the best interests of WSA rather than in the client's best interest. WSA advisory clients are not compelled to effect securities transactions through PTI. Tom Haugh spends 40 hours per week on this activity. Tom Haugh is the Chief Investment Officer for Wells Street Advisors, LLC ("WSA"), an Illinois registered investment adviser. He is also a control person of both PTI Securities and WSA. As a matter of disclosure, please be advised that Mr. Haugh's dual relationship with WSA creates certain conflicts of interest. Tom Haugh hosts a radio program called Stocks and Jocks, in which he discusses retirement topics and concerns. He does not receive compensation for this activity. Tom Haugh spends 10 hours per week on this activity. Tom Haugh may provide expert witness testimony as it relates to options strategy and retail brokerage accounts. For this he receives compensation. This service is intermittent, and Tom Haugh has spent 0 hours on this activity since 2018. Tom Haugh served on the Board of Directors for the Chicago Board Options Exchange from 1992-1998.

Exams

• S65 Uniform Investment Adviser Law Examination
  2019-05-16
• S63 Uniform Securities Agent State Law Examination
  1992-01-10