Thomas William Moore

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
CT	RA	APPROVED	2021-05-03

CT RA
APPROVED

Since 2021-05-03

Branch Locations

One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES

68 S Service Rd Ste 200 [C1-Rbo], Melville, NY 11747 • 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

Organization	City	State	From	To
Hsbc	New York	NY	04/2001	11/2016
Wells Fargo Bank	Greenwich	CT	03/2017	Present
Wells Fargo Clearing Services	Greenwich	CT	02/2021	Present
Unemployed	Greenwich	CT	11/2016	03/2017

04/2001 → 11/2016

Hsbc

New York, NY
03/2017 → Present

Wells Fargo Bank

Greenwich, CT
02/2021 → Present

Wells Fargo Clearing Services

Greenwich, CT
11/2016 → 03/2017

Unemployed

Greenwich, CT

Other Businesses

TOWN OF DARIEN CONNECTICUT; NOT INV RELATED; DARIEN, CT; REPRESENTATIVE OF TOWN MEETNGS; 11/2025; 3 HOURS PER MONTH; 0 DURING TRADING; CONTRIBUTING TO CIVIC ACTIVITIES

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-05-03
S63	Uniform Securities Agent State Law Examination	1983-12-15

S66 Uniform Combined State Law Examination

2021-05-03
S63 Uniform Securities Agent State Law Examination

1983-12-15

Other Names

Thomas William Moore
Thomas W Moore

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

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