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THOMAS LYNN PETERSON
THOMAS PETERSON, TOM L PETERSON
CRD#: 1951165
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 20 BANK ST
SAVANNAH, GA 31411
Registration History
199019952000200520102015202020252 FIRMS2016 - 2017 (1 year)2 FIRMS2017 - 2020 (2 years)2 FIRMS2020 - Present (5 years)BCETERA INVESTMENT SERVICES LLC (CRD# 15340)2012 - 2016 (4 years)BINVEST FINANCIAL CORPORATION (CRD# 12984)2007 - 2012 (5 years)BPFIC SECURITIES CORPORATION (CRD# 34941)2005 - 2007 (1 year)BFISERV INVESTOR SERVICES, INC. (CRD# 34637)2001 - 2005 (4 years)BPRUCO SECURITIES CORPORATION (CRD# 5685)1989 - 2000 (11 years)BTHE PRUDENTIAL INSURANCE COMPA... (CRD# 680)1989 - 1993 (4 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2014 - 2016 (2 years)IACETERA INVESTMENT SERVICES LLC (CRD# 15340)2012 - 2014 (1 year)
License(s)

State Registrations

B
Georgia 1/31/2020

B
South Carolina 1/31/2020

IA
Georgia 11/14/2022

IA
South Carolina 1/31/2020

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)
20 BANK ST, SAVANNAH, GA 31411
Registered with this firm since 1/31/2020

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
20 BANK ST, SAVANNAH, GA 31411
Registered with this firm since 1/31/2020

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
11/29/2017 - 01/13/2020 LPL FINANCIAL LLC (CRD#:6413) BERKELEY SPRINGS, WV
B
11/29/2017 - 01/13/2020 LPL FINANCIAL LLC (CRD#:6413) BERKELEY SPRINGS, WV
IA
10/03/2016 - 11/29/2017 INVESTMENT CENTERS OF AMERICA, INC. (CRD#:16443) BERKELEY SPRINGS, WV
B
10/03/2016 - 11/29/2017 INVESTMENT CENTERS OF AMERICA, INC. (CRD#:16443) BERKELEY SPRINGS, WV
IA
01/21/2014 - 09/30/2016 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) BERKELEY SPRINGS, WV
B
06/20/2012 - 09/30/2016 CETERA INVESTMENT SERVICES LLC (CRD#:15340) BERKELEY SPRINGS, WV
IA
07/13/2012 - 01/21/2014 CETERA INVESTMENT SERVICES LLC (CRD#:15340) BERKELEY SPRINGS, WV
B
04/30/2007 - 06/13/2012 INVEST FINANCIAL CORPORATION (CRD#:12984) SHIPPENSBURG, PA
B
08/17/2005 - 04/30/2007 PFIC SECURITIES CORPORATION (CRD#:34941) CHAMBERSBURG, PA
B
01/05/2001 - 08/17/2005 FISERV INVESTOR SERVICES, INC. (CRD#:34637) HOUSTON, TX
B
05/15/1989 - 12/22/2000 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
B
05/15/1989 - 12/10/1993 THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (CRD#:680) NEWARK, NJ
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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.