Thomas Taylor

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (12)

Series 52TOSeries 99TOSIEPCSeries 7Series 9Series 10Series 24Series 53Series 8Series 65Series 63

Registered states (1)

California

Years in the industry (source record)

46

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

Current firm

From the firm record

Firm

Wells Fargo Advisors

Firm CRD

11025

SEC number

801-57434

Assets under management

$252.3B as of Jun 3, 2026

Website

stories.wf.com ↗

Phone

314-875-3000

Firm location

St. Louis, MO, 63103-2205

Employment history (27)

From the source registration record · current first

• Wells Fargo Clearing Services, LLCCurrent

  Woodland Hills, CA · BC capacity
  start not retrieved → present
• Wells Fargo Advisors Financial Network, LLCCurrent

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

  West Hills, CA · IA capacity
  start not retrieved → present
• Wells Fargo Advisors Financial Network, LLCCurrent

  Woodland Hills, CA · IA capacity
  start not retrieved → present
• Wells Fargo Clearing Services, LLCCurrent

  Woodland Hills, CA · IA capacity
  start not retrieved → present
• Wells Fargo Advisors Financial Network, LLCCurrent

  St. Louis, MO · IA capacity
  start not retrieved → present
• Wells Fargo AdvisorsCurrent

  West Hills, CA · IA capacity
  start not retrieved → present
• Wells Fargo AdvisorsCurrent

  Woodland Hills, CA · IA capacity
  start not retrieved → present
• Wells Fargo AdvisorsCurrent

  Woodland Hills, CA · IA capacity
  start not retrieved → present
• Charles Schwab & Co., Inc.

  Los Angeles, CA · IA capacity
  May 24, 2012 → Feb 23, 2015
• Charles Schwab & Co., Inc.

  Los Angeles, CA · BC capacity
  May 23, 2012 → Feb 23, 2015
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  Canoga Park, CA · IA capacity
  Mar 16, 2012 → Apr 27, 2012
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  Canoga Park, CA · BC capacity
  Mar 15, 2012 → Apr 27, 2012
• Citigroup Global Markets Inc.

  Glendale, CA · IA capacity
  May 17, 2010 → Jan 18, 2012
• Citigroup Global Markets Inc.

  Glendale, CA · BC capacity
  May 17, 2010 → Jan 18, 2012
• Cuna Brokerage Services, Inc.

  Waverly, IA · IA capacity
  Feb 15, 2008 → Feb 1, 2010
• Cuna Brokerage Services, Inc.

  Waverly, IA · BC capacity
  Feb 15, 2008 → Feb 1, 2010
• Cuso Financial Services, L.P.

  Hawthorne, CA · IA capacity
  May 17, 2006 → Feb 11, 2008
• Cuso Financial Services, L.P.

  Hawthorne, CA · BC capacity
  May 17, 2006 → Feb 11, 2008
• Ing Financial Advisers, LLC

  Agoura Hills, CA · IA capacity
  Jun 16, 2005 → Jan 4, 2006
• Ing Financial Advisers, LLC

  Windsor, CT · BC capacity
  Jun 16, 2005 → Jan 4, 2006
• Primevest Financial Services, Inc.

  St. Cloud, MN · BC capacity
  Jul 7, 2000 → Mar 5, 2001
• Bisys Brokerage Services, Inc.

  St. Cloud, MN · BC capacity
  Oct 14, 1998 → May 10, 2000
• Citicorp Select Investments

  Long Island City, NY · BC capacity
  Aug 26, 1991 → Oct 31, 1991
• Linsco/Private Ledger Corp.

  Fort Mill, SC · BC capacity
  Mar 8, 1990 → Apr 22, 1991
• Sutro & Co. Incorporated

  San Francisco, CA · BC capacity
  Jul 6, 1983 → Feb 20, 1990
• Bateman Eichler, Hill Richards, Incorporated

  BC capacity
  May 20, 1976 → Jul 18, 1983

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.

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