Thomas Edward Stapleton

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2016 → 11/2016
  Wells Fargo Advisors, Llc
  Long Beach, CA
• 11/2016 → Present
  Wells Fargo Clearing Services, Llc
  Long Beach, CA

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

• 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