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Detailed Report
THOMAS FRANK MORRISON
CRD#: 2284068
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 68 S SERVICE RD STE 200
MELVILLE, NY 11747
Registration History
1995200020052010201520202025IAWELLS FARGO ADVISORS (CRD# 19616)2016 - Present (8 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2003 - Present (21 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)2000 - 2003 (3 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1993 - 2000 (7 years)BJ. GREGORY & COMPANY, INC. (CRD# 14892)1993 - 1993 (<1 year)BCHATFIELD DEAN & CO., INC. (CRD# 14714)1992 - 1993 (<1 year)
Disclosure(s)
View By:
3/24/2009
Customer Dispute
Settled
License(s)

State Registrations

B
California 7/1/2003
IA
New York 7/27/2021
B
Colorado 1/7/2014
B
North Carolina 7/1/2003
B
Connecticut 7/1/2003
B
Ohio 1/26/2009
B
Florida 7/1/2003
B
Pennsylvania 1/7/2014
B
Georgia 9/29/2017
B
South Carolina 8/8/2006
B
Maryland 11/11/2020
B
Texas 8/24/2016
B
Massachusetts 7/27/2015
IA
Texas 8/26/2016
B
New Jersey 3/14/2014
B
Virginia 4/19/2010
B
New York 7/1/2003
B
Washington 8/23/2022

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American 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)
68 S SERVICE RD STE 200, MELVILLE, NY 11747
Registered with this firm since 8/26/2016
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
68 S SERVICE RD STE 200, MELVILLE, NY 11747
Registered with this firm since 7/1/2003
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 06/28/2000 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 04/28/1993 - 07/27/2000 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 01/22/1993 - 05/07/1993 J. GREGORY & COMPANY, INC. (CRD#:14892)
B
 11/20/1992 - 01/29/1993 CHATFIELD DEAN & CO., INC. (CRD#:14714) GREENWOOD VILLAGE, CO
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.