Thomas Francis Kennedy

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
CA	RA	APPROVED	2015-04-09

CA RA
APPROVED

Since 2015-04-09

Branch Locations

2033 N Main Street 9Th Floor [Nk/Nl-Rbo], Walnut Creek, CA 94596 • United States

3402 Camino Tassajara, Danville, CA 94506 • 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 Yes
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
Wells Fargo Advisors, Llc	Watsonsville	CA	04/2015	11/2016
Wells Fargo Clearing Services, Llc	Watsonsville	CA	11/2016	Present

04/2015 → 11/2016

Wells Fargo Advisors, Llc

Watsonsville, CA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Watsonsville, CA

Previous Registrations

2014-06-03 → 2015-04-14

Bancwest Investment Services, Inc.

Livermore, CA

Monterey, CA

Santa Cruz, CA

Capitola, CA
2013-10-21 → 2014-05-13

Pnc Managed Account Solutions, Inc.

Sonora, CA
2013-04-18 → 2013-09-24

Steward Partners Investment Solutions, Llc

Sonora, CA
2011-01-03 → 2013-04-01

Wells Fargo Clearing Services, Llc

Capitola, CA

Santa Cruz, CA

San Jose, CA

Morgan Hill, CA
2003-06-02 → 2011-01-03

Wells Fargo Investments, Llc

Santa Cruz, CA

Capitola, CA

Watsonville, CA

Santa Cruz, CA

Aptos, CA

Capitola, CA

Santa Cruz, CA
2002-11-21 → 2003-06-10

Quick & Reilly, Inc.

Sunnvale, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1999-07-02

S66 Uniform Combined State Law Examination

1999-07-02

Other Names

Tom Kennedy

View on SEC IAPD