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Thomas Adamson Wood

Wells Fargo Clearing Services, LLC

Newark, DE

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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 2017-04-21
DE RA APPROVED 2009-03-19
  • TX RA
    APPROVED
    Since 2017-04-21
  • DE RA
    APPROVED
    Since 2009-03-19

Branch Locations

131 Continental Drive Ste 102 Christiana Executive Campus, Newark, DE 19713 • 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 Greenville DE 05/2009 11/2016
Wells Fargo Clearing Services, Llc Greenville DE 11/2016 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-03-27
S63 Uniform Securities Agent State Law Examination 1987-03-27
  • S65 Uniform Investment Adviser Law Examination
    2002-03-27
  • S63 Uniform Securities Agent State Law Examination
    1987-03-27
Other Names
  • Tom Wood
  • Thomas A Wood

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · NEWARK, DE
JPL ASSET MANAGEMENT AND PLANNING, LLC · NEWARK, DE
NJM VENCAP LLC · NEWARK, DE
RIVER FAMILY ADVISORS LLC · Newark, DE
EAGLE STRATEGIES LLC · NEWARK, DE
AMERIPRISE FINANCIAL SERVICES, LLC · Newark, DE
MML INVESTORS SERVICES, LLC · NEWARK, DE
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC · Newark, DE

More in Newark, DE

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