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THOMAS L SCOTT
THOMAS LEROY SCOTT
CRD#: 2768295
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 245 SANTA HELENA
SOLANA BEACH, CA 92075
Registration History
1996199820002002200420062008201020122014201620182020202220242 FIRMS2001 - 2008 (7 years)2 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - 2018 (8 years)2 FIRMS2018 - Present (6 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)1996 - 2001 (4 years)
Disclosure(s)
View By:
1/31/2011
Customer Dispute
Denied
License(s)

State Registrations

B
California 5/18/2018

B
Nevada 9/15/2021

IA
California 5/18/2018

B
New York 7/6/2018

B
Colorado 5/18/2018

B
North Carolina 5/18/2018

B
Florida 6/16/2022

B
Oregon 4/17/2023

B
Georgia 5/18/2018

B
Utah 5/18/2018

B
Illinois 5/20/2024

B
Washington 6/11/2020

B
Montana 7/29/2024

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)
245 SANTA HELENA, SOLANA BEACH, CA 92075
Registered with this firm since 5/18/2018

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
245 SANTA HELENA, SOLANA BEACH, CA 92075
Registered with this firm since 5/18/2018

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/01/2009 - 05/21/2018 MORGAN STANLEY (CRD#:149777) CARLSBAD, CA
B
06/01/2009 - 05/21/2018 MORGAN STANLEY (CRD#:149777) CARLSBAD, CA
IA
08/11/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) CARLSBAD, CA
B
08/08/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) CARLSBAD, CA
IA
02/08/2001 - 08/22/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) CARLSBAD, CA
B
01/26/2001 - 08/22/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) CARLSBAD, CA
B
09/26/1996 - 02/05/2001 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
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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.