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Tory Keith Thomas

Wells Fargo Clearing Services, LLC

Laguna Beach, CA

Laguna Beach, CA

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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
CA RA APPROVED 2012-03-05
  • CA RA
    APPROVED
    Since 2012-03-05

Branch Locations

265 Ocean Ave, Laguna Beach, CA 92651 • United States

Laguna Beach, CA • 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 Laguna Beach CA 03/2012 11/2016
Wells Fargo Clearing Services, Llc Laguna Beach CA 11/2016 Present
Previous Registrations
  • 2009-06-01 → 2012-03-27
    Morgan Stanley
    Laguna Beach, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Laguna Beach, CA
  • 1998-08-24 → 2007-04-02
    Morgan Stanley Dw Inc.
    Laguna Beach, CA
Other Businesses

RENTAL PROPERTY; INVESTMENT RELATED; ALISO VIEJO, CA; OWNER; START DATE 4/15/2013; 1 HR PER MONTH; 0 HRS DURING TRADING.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-02-02
S65 Uniform Investment Adviser Law Examination 1996-02-02
  • S63 Uniform Securities Agent State Law Examination
    1996-02-02
  • S65 Uniform Investment Adviser Law Examination
    1996-02-02

View on SEC IAPD

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Other Investors

MATTHEW JOSIAH BELDEN
Lauren Mary Shepherd
KRISTOPHER M KARDOS
KELSEY MARRISSA BELSITO
DILLON KANE PANINGSORO
AMARDEEP PAUL
MICHAEL HENDRICKS URNER
COLTEN MICHAEL FRANCO

Other Offices

WELLS FARGO CLEARING SERVICES, LLC · LAGUNA BEACH, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LAGUNA BEACH, CA
CRANE INVESTMENTS INC · LAGUNA BEACH, CA
CAMELOT CAPITAL PARTNERS LLC · LAGUNA BEACH, CA
OSAIC WEALTH, INC. · LAGUNA BEACH, CA
THOMAS SEAMAN COMPANY · LAGUNA BEACH, CA
LPL FINANCIAL LLC · LAGUNA BEACH, CA
COMMONWEALTH FINANCIAL NETWORK · Laguna Beach, CA

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