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Thomas Edward Stapleton

Wells Fargo Clearing Services, LLC

Anaheim, CA

Long 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
TX RA APPROVED_RES 2016-01-20
CA RA APPROVED 2016-01-15
  • TX RA
    APPROVED_RES
    Since 2016-01-20
  • CA RA
    APPROVED
    Since 2016-01-15

Branch Locations

2400 E Katella Ave Ste 1000, Anaheim, CA 92806 • United States

Long 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, Llc Long Beach CA 01/2016 11/2016
Wells Fargo Clearing Services, Llc Long Beach CA 11/2016 Present
Previous Registrations
  • 2009-06-01 → 2016-01-20
    Morgan Stanley
    Santa Ana, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Santa Ana, CA
  • 2004-12-15 → 2007-04-02
    Morgan Stanley Dw Inc.
    Santa Ana, CA
    Santa Ana, CA
  • 2002-04-11 → 2003-12-02
    Wells Fargo Investments, Llc
    Huntington Beach, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-03-25
S63 Uniform Securities Agent State Law Examination 1999-03-04
  • S65 Uniform Investment Adviser Law Examination
    1999-03-25
  • S63 Uniform Securities Agent State Law Examination
    1999-03-04
Other Names
  • Thomas Edward Stapleton
  • Thomas Edward Stapleton Iii

View on SEC IAPD

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