Thomas Aquinas Taormina

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-11-19

NY RA
APPROVED

Since 2021-11-19

Branch Locations

70 N Country Rd Ste 301, Port Jefferson, NY 11777 • 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

Organization	City	State	From	To
Ubs Financial Services Inc	Melville	NY	06/2012	11/2021
Wells Fargo Clearing Services, Llc	Port Jefferson	NJ	11/2021	Present

06/2012 → 11/2021

Ubs Financial Services Inc

Melville, NY
11/2021 → Present

Wells Fargo Clearing Services, Llc

Port Jefferson, NJ

Previous Registrations

2021-11-01 → 2021-12-15

Ubs Financial Services Inc.

Melville, NY

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1989-02-15

S63 Uniform Securities Agent State Law Examination

1989-02-15

Other Names

Thomas Taormina

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

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