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THOMAS WILLIAM PICKETT
THOMAS W PICKETT, TOM PICKETT
CRD#: 1722936
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1800 HUGHES LANDING BLVD STE 300
THE WOODLANDS, TX 77380
Registration History
19952000200520102015202020252 FIRMS1994 - 2006 (11 years)2 FIRMS2006 - 2013 (7 years)2 FIRMS2013 - 2022 (9 years)2 FIRMS2022 - Present (2 years)
Disclosure(s)
View By:
10/1/2009
Customer Dispute
Denied
License(s)

State Registrations

B
California 8/10/2022

B
North Carolina 8/10/2022

B
Florida 8/10/2022

B
Oregon 8/7/2023

B
Georgia 8/10/2022

B
Texas 8/10/2022

B
Illinois 8/23/2022

IA
Texas 8/10/2022

B
Louisiana 8/10/2022

B
Washington 8/7/2023

B
Mississippi 9/12/2022

B
Wisconsin 8/10/2022

B
New Jersey 8/7/2023

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)
1800 HUGHES LANDING BLVD STE 300, THE WOODLANDS, TX 77380
Registered with this firm since 8/10/2022

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1800 HUGHES LANDING BLVD STE 300, THE WOODLANDS, TX 77380
Registered with this firm since 8/10/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/21/2013 - 08/19/2022 UBS FINANCIAL SERVICES INC. (CRD#:8174) THE WOODLANDS, TX
B
05/21/2013 - 08/19/2022 UBS FINANCIAL SERVICES INC. (CRD#:8174) THE WOODLANDS, TX
IA
03/01/2006 - 05/23/2013 WELLS FARGO ADVISORS, LLC (CRD#:19616) HOUSTON, TX
B
03/01/2006 - 05/23/2013 WELLS FARGO ADVISORS, LLC (CRD#:19616) HOUSTON, TX
IA
06/23/1994 - 03/06/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HOUSTON, TX
B
06/02/1994 - 03/06/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HOUSTON, TX
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B
Broker
IA
Investment Adviser
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.