Thomas D Lewis

CRD 5485494 · Wells Fargo Advisors · Canton, GA

IA RegisteredBroker

Also appears in the source record as: Dan Lewis; Thomas D. Lewis; Thomas Dante Lewis; Thomas Lewis

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 3Series 31Series 7Series 66
Registered states (7): California · Florida · Georgia · New Hampshire · New York · South Carolina · Tennessee
Years in the industry (source record): 16
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 (16)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Canton, GA · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Canton, GA · BC capacity

start not retrieved → present
Cetera Investment Advisers LLC
Woodstock, GA · IA capacity

Apr 25, 2019 → Nov 22, 2021
Cetera Investment Services LLC
Woodstock, GA · BC capacity

Apr 1, 2019 → Nov 22, 2021
Lpl Financial LLC
Enfield, CT · IA capacity

Oct 12, 2018 → Apr 24, 2019
Lpl Financial LLC
Enfield, CT · BC capacity

Oct 12, 2018 → Apr 24, 2019
Cuso Financial Services, L.P.
Southbridge, MA · IA capacity

Dec 5, 2016 → Oct 11, 2018
Cuso Financial Services, L.P.
Southbridge, MA · BC capacity

Dec 5, 2016 → Oct 11, 2018
Resource Securities, Inc.
Philadelphia, PA · BC capacity

Apr 12, 2016 → Oct 4, 2016
Voya Investment Management Co. LLC
Tampa, FL · IA capacity

Nov 16, 2011 → Apr 4, 2016
Voya Investments Distributor, LLC
Windsor, CT · BC capacity

Nov 16, 2011 → Apr 4, 2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Birmingham, AL · IA capacity

Jan 14, 2011 → Aug 5, 2011
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Birmingham, AL · BC capacity

Jan 14, 2011 → Aug 5, 2011
Morgan Stanley Smith Barney LLC
Birmingham, AL · IA capacity

Jun 30, 2010 → Jan 12, 2011
Morgan Stanley Smith Barney
Birmingham, AL · BC capacity

May 10, 2010 → Jan 12, 2011
Mml Investors Services, Inc.
Springfield, MA · BC capacity

Mar 12, 2008 → Apr 21, 2009

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.

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