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Detailed Report
THOMAS William MOORE
THOMAS W MOORE, THOMAS WILLIAM MOORE
CRD#: 1206868
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 211 MAIN ST 2ND FL
[C1-RBO]
ANSONIA, CT 06401
Registration History
1985199019952000200520102015202020252 FIRMS2021 - Present (3 years)BHSBC SECURITIES (USA) INC. (CRD# 19585)2009 - 2016 (7 years)BFORESIDE DISTRIBUTION SERVICES... (CRD# 15634)2002 - 2009 (6 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2000 - 2002 (1 year)BNATWEST SECURITIES CORPORATION (CRD# 18238)1997 - 1998 (<1 year)BFLEET ENTERPRISES, INC. (CRD# 17434)1994 - 1996 (2 years)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1984 - 1994 (9 years)BFIRST JERSEY SECURITIES, INC. (CRD# 6621)1983 - 1984 (<1 year)
License(s)

State Registrations

B
Connecticut 5/3/2021
IA
Connecticut 5/3/2021

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
211 MAIN ST 2ND FL [C1-RBO], ANSONIA, CT 06401
Registered with this firm since 5/3/2021
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
211 MAIN ST 2ND FL [C1-RBO], ANSONIA, CT 06401
Registered with this firm since 4/8/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 11/20/2009 - 12/01/2016 HSBC SECURITIES (USA) INC. (CRD#:19585) New York, NY
B
 11/19/2002 - 03/16/2009 FORESIDE DISTRIBUTION SERVICES, L.P. (CRD#:15634) PORTLAND, ME
B
 05/17/2000 - 01/11/2002 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CHICAGO, IL
B
 11/06/1997 - 08/31/1998 NATWEST SECURITIES CORPORATION (CRD#:18238) NEW YORK, NY
B
 05/27/1994 - 05/08/1996 FLEET ENTERPRISES, INC. (CRD#:17434) NEW YORK, NY
B
 09/13/1984 - 04/12/1994 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613) NEW YORK, NY
B
 11/23/1983 - 08/30/1984 FIRST JERSEY SECURITIES, INC. (CRD#:6621)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.