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Thomas William Fox

Stifel, Nicolaus & Company, Incorporated

Bridgeport, WV

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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-11-15
WV RA APPROVED 2020-10-19
  • TX RA
    APPROVED_RES
    Since 2021-11-15
  • WV RA
    APPROVED
    Since 2020-10-19

Branch Locations

45 Professional Place Suite 100, Bridgeport, WV 26330 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Morgantown WV 05/2009 11/2016
Wells Fargo Clearing Services, Llc Morgantown WV 11/2016 10/2020
Stifel Nicolaus & Co Inc Bridgeport WV 10/2020 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Morgantown, WV
  • 11/2016 → 10/2020
    Wells Fargo Clearing Services, Llc
    Morgantown, WV
  • 10/2020 → Present
    Stifel Nicolaus & Co Inc
    Bridgeport, WV
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-12-04
S63 Uniform Securities Agent State Law Examination 1994-03-17
  • S65 Uniform Investment Adviser Law Examination
    2015-12-04
  • S63 Uniform Securities Agent State Law Examination
    1994-03-17
Other Names
  • Thoas William Fox
  • Thomas William Ii Fox
  • Tom Fox

View on SEC IAPD

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