Individual Firm
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THOMAS BISHOP
TOM BISHOP
CRD#: 2140640
IA
B
WELLS FARGO ADVISORSCRD#: 19616 461 FROM RD STE 101
PARAMUS, NJ 07652
PARAMUS, NJ 07652
View By:
2/14/2002
Customer Dispute
Settled
State Registrations
B
Arizona 12/12/2024
B
New Hampshire 12/12/2024
B
California 12/12/2024
B
New Jersey 12/12/2024
B
Colorado 12/12/2024
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New Jersey 12/12/2024
B
Connecticut 12/12/2024
B
New York 12/12/2024
B
Delaware 12/12/2024
B
North Carolina 12/12/2024
B
District of Columbia 12/12/2024
B
Ohio 12/12/2024
B
Florida 12/16/2024
B
Pennsylvania 12/12/2024
IA
Florida 12/16/2024
B
South Carolina 12/12/2024
B
Georgia 12/12/2024
B
Tennessee 12/12/2024
B
Idaho 12/12/2024
B
Texas 12/12/2024
B
Illinois 12/16/2024
IA
Texas 12/12/2024
B
Kentucky 12/12/2024
B
Vermont 12/12/2024
B
Maryland 12/12/2024
B
Virginia 12/12/2024
B
Massachusetts 12/20/2024
B
Washington 12/12/2024
B
Nebraska 12/12/2024
SRO Registrations
B
B
B
B
B
B
B
B
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B
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 12/12/2024
B
Registered with this firm since 12/12/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/05/2010 - 12/23/2024 | PARAMUS, NJ | |
B | 05/05/2010 - 12/23/2024 | PARAMUS, NJ | |
IA | 06/01/2009 - 05/10/2010 | WARREN, NJ | |
B | 06/01/2009 - 05/10/2010 | WARREN, NJ | |
IA | 04/02/2007 - 06/01/2009 | WARREN, NJ | |
B | 04/02/2007 - 06/01/2009 | WARREN, NJ | |
IA | 11/12/2004 - 04/02/2007 | PARAMUS, NJ | |
B | 11/12/2004 - 04/02/2007 | PARAMUS, NJ | |
IA | 06/22/2000 - 11/16/2004 | WAYNE, NJ | |
B | 06/07/1991 - 11/16/2004 | NEW YORK, NY |
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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.