Thomas Bernard Goodwin

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:

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
TX	RA	APPROVED_RES	2015-03-13
NJ	RA	APPROVED	2004-01-06

TX RA
APPROVED_RES

Since 2015-03-13
NJ RA
APPROVED

Since 2004-01-06

Branch Locations

1201 New Rd [Lo-Rbo], Linwood, NJ 08221 • United States

10000 Sagemore Dr Ste 10102, Marlton, NJ 08053 • 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
Wells Fargo Advisors Llc	Haddon Township	NJ	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Haddon Township	NJ	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Haddon Township, NJ
11/2016 → Present

Wells Fargo Clearing Services, Llc

Haddon Township, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-05-24
S63	Uniform Securities Agent State Law Examination	1986-11-21

S65 Uniform Investment Adviser Law Examination

1996-05-24
S63 Uniform Securities Agent State Law Examination

1986-11-21

View on SEC IAPD

Employer firm

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Exams

Nearby Firms

Nearby Investors

Nearby Offices

Reviews