Thomas Charles Dexter

CRD 2980270 · Wells Fargo Advisors · Wilton, CT

IA RegisteredBroker

Also appears in the source record as: Tom Dexter

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 7TOSeries 7Series 24Series 63Series 65
Registered states (13): California · Connecticut · Illinois · Maryland · New Hampshire · New Jersey · New York · North Carolina · Pennsylvania · Rhode Island · Tennessee · Texas · Wisconsin
Years in the industry (source record): 27
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2980270 contains one or more disclosure events as of Aug 20, 2026.

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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 (14)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Wilton, CT · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Wilton, CT · BC capacity

start not retrieved → present
Lpl Financial LLC
Norwalk, CT · IA capacity

Mar 22, 2019 → Apr 8, 2026
Lpl Financial LLC
Norwalk, CT · BC capacity

Mar 19, 2019 → Apr 8, 2026
Commonwealth Strategic Advisory
New Canaan, CT · IA capacity

Oct 8, 2014 → Oct 11, 2018
Barclays Capital Inc.
New York, NY · IA capacity

Oct 8, 2012 → Dec 23, 2013
Barclays Capital Inc.
New York, NY · BC capacity

Oct 8, 2012 → Dec 23, 2013
Merrill Lynch, Pierce, Fenner & Smith Incorporated
New York, NY · IA capacity

Sep 22, 2008 → Jun 1, 2012
Merrill Lynch, Pierce, Fenner & Smith Incorporated
New York, NY · BC capacity

Sep 22, 2008 → Jun 1, 2012
Lehman Brothers Inc.
New York, NY · IA capacity

Oct 5, 2004 → Oct 2, 2008
Lehman Brothers Inc.
New York, NY · BC capacity

Sep 2, 2004 → Oct 2, 2008
Morgan Stanley & Co., Incorporated
Washington, DC · IA capacity

Oct 25, 2001 → Sep 3, 2004
Morgan Stanley & Co., Incorporated
New York, NY · BC capacity

Mar 20, 2001 → Sep 3, 2004
Friedman, Billings, Ramsey & Co., Inc.
Arlington, VA · BC capacity

Dec 22, 1997 → Mar 19, 2001

Source & corrections

Where this page comes from

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