Thomas John Maltese

CRD 2945007 · Wells Fargo Advisors · Beverly Hills, CA

IA RegisteredBroker

Also appears in the source record as: Thomas J Maltese; Tom Maltese

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 7TOSIESeries 7Series 63Series 65
Registered states (1): California
Years in the industry (source record): 11
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 (10)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Beverly Hills, CA · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Beverly Hills, CA · BC capacity

start not retrieved → present
Morgan Stanley
Beverly Hills, CA · BC capacity

Jun 13, 2025 → Jan 6, 2026
Morgan Stanley
Beverly Hills, CA · IA capacity

May 20, 2025 → Jan 6, 2026
Citigroup Global Markets Inc.
Los Angeles, CA · IA capacity

May 29, 2007 → Jan 24, 2008
Citigroup Global Markets Inc.
Los Angeles, CA · BC capacity

May 29, 2007 → Jan 24, 2008
Citicorp Investment Services
Los Angeles, CA · IA capacity

Jul 23, 2004 → May 29, 2007
Citicorp Investment Services
Los Angeles, CA · BC capacity

Jun 30, 2004 → May 29, 2007
J.P. Morgan Securities Inc.
New York, NY · BC capacity

Mar 11, 2002 → Mar 31, 2004
Merrill Lynch, Pierce, Fenner & Smith Incorporated
New York, NY · BC capacity

Nov 18, 1997 → Feb 26, 2002

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 2945007 ↗ FINRA BrokerCheck record for CRD 2945007 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. 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.