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THOMAS ROWLAND LONERGAN
CRD#: 1546316
IA
B
WELLS FARGO ADVISORSCRD#: 19616 30 S WACKER DR STE 4000
CHICAGO, IL 60606
CHICAGO, IL 60606
0
Disclosures
38
Years of Experience
View By:
State Registrations
B
Arizona 12/11/2014
B
Minnesota 2/11/2025
B
Colorado 1/2/2015
B
New Jersey 12/11/2014
B
Florida 1/21/2015
B
New York 12/11/2014
IA
Florida 7/3/2017
B
South Carolina 1/7/2019
B
Georgia 12/11/2014
B
Tennessee 6/16/2020
B
Illinois 12/11/2014
B
Texas 12/11/2014
IA
Illinois 12/12/2014
IA
Texas 12/11/2014
B
Indiana 12/22/2014
B
Washington 12/11/2014
B
Louisiana 6/28/2023
B
Wisconsin 12/11/2014
SRO Registrations
B
B
B
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IA
Registered with this firm since 12/11/2014
B
Registered with this firm since 12/11/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/29/2006 - 12/18/2014 | CHICAGO, IL | |
B | 09/29/2006 - 12/18/2014 | CHICAGO, IL | |
IA | 12/28/2000 - 10/04/2006 | CHICAGO, IL | |
B | 11/03/1995 - 10/04/2006 | CHICAGO, IL | |
B | 07/21/1994 - 11/08/1995 | DES MOINES, IA | |
B | 06/30/1992 - 07/28/1994 | ENGLEWOOD, CO | |
B | 01/02/1987 - 06/25/1992 | ||
B | 08/21/1986 - 01/02/1987 |
DES MOINES, IA
07/21/1994 - 11/08/1995
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.