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Detailed Report
THOMAS EDWARD KEALY
TED KEALY, TOD KEALY
CRD#: 2316993
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1300 BEVILLE RD
DAYTONA BEACH, FL 32114
Registration History
19952000200520102015202020252 FIRMS2000 - Present (24 years)BFIRST UNION BROKERAGE SERVICES... (CRD# 8112)1998 - 2000 (2 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1993 - 1998 (4 years)BCHATFIELD DEAN & CO., INC. (CRD# 14714)1993 - 1993 (<1 year)
Disclosure(s)
View By:
2/27/2001
Customer Dispute
Denied
12/16/1998
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
Alabama 12/14/2022
B
Nevada 10/1/2000
B
California 4/19/2017
B
New Jersey 10/1/2000
B
Colorado 11/15/2006
B
New York 10/1/2000
B
Connecticut 10/1/2000
B
North Carolina 7/12/2023
B
Delaware 1/18/2018
B
Ohio 2/4/2020
B
Florida 10/1/2000
B
Oklahoma 12/6/2021
IA
Florida 10/1/2000
B
Pennsylvania 10/1/2000
B
Georgia 10/1/2000
B
South Carolina 6/21/2019
B
Illinois 4/12/2023
B
Tennessee 10/1/2000
B
Indiana 4/21/2006
B
Texas 3/29/2006
B
Kentucky 3/17/2020
B
Vermont 1/7/2022
B
Maryland 3/28/2006
B
Virginia 1/9/2018
B
Michigan 10/29/2018
B
Washington 7/20/2023
B
Missouri 1/11/2022

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)
1300 BEVILLE RD, DAYTONA BEACH, FL 32114
1302 W INTERNATIONAL SPEEDWAY BLVD, DAYTONA BEACH, FL 32114
Registered with this firm since 10/1/2000
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1300 BEVILLE RD, DAYTONA BEACH, FL 32114
1302 W INTERNATIONAL SPEEDWAY BLVD, DAYTONA BEACH, FL 32114
Registered with this firm since 10/1/2000
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 09/14/1998 - 10/01/2000 FIRST UNION BROKERAGE SERVICES, INC. (CRD#:8112) CHARLOTTE, NC
B
 10/15/1993 - 09/16/1998 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 03/22/1993 - 06/02/1993 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.