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Detailed Report
THOMAS E DOTSON
DUKE DOTSON, THOMAS EDWARD DOTSON II
CRD#: 3112703
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 203 BROYLES DR STE 200
JOHNSON CITY, TN 37601
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2002 - 2008 (5 years)2 FIRMS2008 - Present (17 years)BEDWARD JONES (CRD# 250)2000 - 2002 (1 year)BA. G. EDWARDS & SONS, INC. (CRD# 4)1998 - 2000 (1 year)
License(s)

State Registrations

B
California 5/2/2023
B
New York 7/26/2023
B
Delaware 12/7/2018
B
Pennsylvania 10/30/2013
B
Florida 1/1/2008
B
South Carolina 9/6/2012
IA
Florida 1/1/2008
B
Tennessee 1/1/2008
B
Georgia 12/3/2019
IA
Tennessee 5/22/2012
B
Kentucky 7/15/2016
B
Texas 1/1/2008
B
Maryland 1/7/2020
IA
Texas 7/28/2010
B
New Jersey 1/1/2008
B
Virginia 3/3/2021

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)
203 BROYLES DR STE 200, JOHNSON CITY, TN 37601
JONESBOROUGH, TN
Registered with this firm since 1/1/2008
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
203 BROYLES DR STE 200, JOHNSON CITY, TN 37601
JONESBOROUGH, TN
Registered with this firm since 1/1/2008
Previous Registration(s)
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B
 03/11/2002 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. AUGUSTINE, FL
IA
 03/11/2002 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. AUGUSTINE, FL
B
 06/19/2000 - 03/11/2002 EDWARD JONES (CRD#:250) ST. LOUIS, MO
B
 10/15/1998 - 06/26/2000 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
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.