Thomas Michael Cartin

CRD 4565652 · Wells Fargo Advisors · Doylestown, PA

IA RegisteredBroker

Also appears in the source record as: Thomas Cartin

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 7TOSIESeries 6Series 65Series 63
Registered states (3): Florida · New Jersey · Pennsylvania
Years in the industry (source record): 22
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 4565652 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 (13)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Doylestown, PA · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Doylestown, PA · BC capacity

start not retrieved → present
Prudential Financial Planning Services
Warrington, PA · IA capacity

Sep 25, 2023 → Mar 27, 2024
Pruco Securities, LLC.
Warrington, PA · BC capacity

Sep 20, 2023 → Mar 27, 2024
Truist Advisory Services, Inc.
Warminster, PA · IA capacity

Nov 19, 2021 → Jul 14, 2023
Truist Investment Services, Inc.
Warminster, PA · BC capacity

Nov 19, 2021 → Jul 14, 2023
Citizens Investment Services
Doylestown, PA · IA capacity

Jan 31, 2019 → Nov 17, 2021
Citizens Securities, Inc.
Doylestown, PA · BC capacity

Feb 10, 2016 → Nov 17, 2021
Pnc Investments
Willow Grove, PA · BC capacity

Jun 29, 2005 → Jan 22, 2016
Ifmg Securities, Inc.
Purchase, NY · BC capacity

May 10, 2004 → Nov 26, 2004
Quick & Reilly, Inc.
New York, NY · BC capacity

Nov 21, 2003 → May 20, 2004
Metropolitan Life Insurance Company
New York, NY · BC capacity

Aug 8, 2002 → Oct 3, 2003
Metlife Securities Inc.
Springfield, MA · BC capacity

Aug 8, 2002 → Oct 3, 2003

Source & corrections

Where this page comes from

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