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Charles Thomas Carroll

Wells Fargo Clearing Services, LLC

Waco, TX

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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 2015-06-26
  • TX RA
    APPROVED
    Since 2015-06-26

Branch Locations

1105 Wooded Acres Dr Ste 600, Waco, TX 76710 • 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 Waco TX 06/2015 11/2016
Wells Fargo Clearing Services, Llc Waco TX 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-08-13
  • S66 Uniform Combined State Law Examination
    2008-08-13
Other Names
  • Charles Thomas Carroll
  • Tom Carroll
  • Charles Thomas Carroll
  • Thomas Carroll

View on SEC IAPD

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THE ASPEN EQUITY GROUP · WACO, TX
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WACO, TX
ACADEMY CAPITAL MANAGEMENT · WACO, TX
ACADEMY CAPITAL MANAGEMENT · WACO, TX
ACADEMY CAPITAL MANAGEMENT · WACO, TX
J.P. MORGAN SECURITIES LLC · WACO, TX
JOHN WESSLER & ASSOCIATES · WACO, TX
EDWARD JONES · WACO, TX

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