Todd Locke Thompson

CRD 2247134 · Wells Fargo Advisors · St. Louis, MO

Broker

Also appears in the source record as: Todd L Thompson

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Not registered in this capacity
Exams passed (12): Series 52TOSIESeries 7Series 6Series 9Series 10Series 53Series 4Series 24Series 26Series 65Series 63
Registered states (1): North Carolina
Years in the industry (source record): 33
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (12)

From the source registration record · current first

Wells Fargo Clearing Services, LLCCurrent
St. Louis, MO · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Charlotte, NC · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
St. Louis, MO · IA capacity

start not retrieved → present
Tower Square Securities, Inc.
El Segundo, CA · BC capacity

Aug 27, 2004 → Jul 5, 2005
Hartford Securities Distribution Company, Inc.
Hartford, CT · BC capacity

Jan 18, 2001 → Aug 13, 2004
Hartford Investment Financial Services, LLC
Wayne, PA · BC capacity

Jan 18, 2001 → Aug 13, 2004
Hartford Equity Sales Company Inc.
Hartford, CT · BC capacity

Nov 28, 2000 → Aug 13, 2004
Transamerica Financial Resources, Inc.
Los Angeles, CA · BC capacity

Dec 6, 1999 → Nov 27, 2000
Banc Of America Investment Services, Inc.
Boston, MA · BC capacity

Jan 1, 1998 → Nov 3, 1999
Nationssecurities
BC capacity

Jul 2, 1996 → Jan 1, 1998
Suntrust Securities, Inc.
Atlanta, GA · BC capacity

Mar 24, 1995 → Jun 28, 1996
Pfs Investments Inc.
Duluth, GA · BC capacity

Jun 24, 1992 → Feb 24, 1995

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 2247134 ↗ FINRA BrokerCheck record for CRD 2247134 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.