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Detailed Report
MARK ALEXANDER THOMPSON
CRD#: 3142145
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 15801 BRIXHAM HILL AVE
STE 100
CHARLOTTE, NC 28277
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2012 - Present (12 years)BSTERNE, AGEE & LEACH, INC. (CRD# 791)2011 - 2012 (1 year)BANDERSON & STRUDWICK, INCORPORATED (CRD# 48)2004 - 2011 (7 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)1999 - 2004 (5 years)BFIRST UNION CAPITAL MARKETS CORP. (CRD# 6124)1998 - 1999 (<1 year)IASTERNE AGEE INVESTMENT ADVISOR... (CRD# 130888)2011 - 2013 (1 year)IAANDERSON & STRUDWICK, INCORPORATED (CRD# 48)2005 - 2011 (6 years)IAA&S CAPITAL ADVISORS, INC. (CRD# 108827)2004 - 2005 (<1 year)IAWACHOVIA SECURITIES, LLC (CRD# 19616)2003 - 2004 (1 year)
License(s)

State Registrations

B
California 11/28/2012
B
Oregon 11/4/2016
B
Colorado 8/23/2021
B
Puerto Rico 7/2/2018
B
Florida 11/28/2012
B
South Carolina 11/28/2012
B
Georgia 9/19/2024
B
Texas 11/28/2012
B
New York 11/28/2012
IA
Texas 11/28/2012
B
North Carolina 11/28/2012
B
Virginia 3/21/2019
IA
North Carolina 11/28/2012

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)
15801 BRIXHAM HILL AVE STE 100, CHARLOTTE, NC 28277
Registered with this firm since 11/28/2012
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
15801 BRIXHAM HILL AVE STE 100, CHARLOTTE, NC 28277
Registered with this firm since 11/28/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/09/2011 - 01/03/2013 STERNE AGEE INVESTMENT ADVISORS, INC. (CRD#:130888) BIRMINGHAM, AL
B
 12/09/2011 - 12/10/2012 STERNE, AGEE & LEACH, INC. (CRD#:791) CHARLOTTE, NC
IA
 04/04/2005 - 12/12/2011 ANDERSON & STRUDWICK, INCORPORATED (CRD#:48) CHARLOTTE, NC
B
 12/03/2004 - 12/09/2011 ANDERSON & STRUDWICK, INCORPORATED (CRD#:48) CHARLOTTE, NC
IA
 12/06/2004 - 04/04/2005 A&S CAPITAL ADVISORS, INC. (CRD#:108827) RICHMOND, VA
IA
 10/02/2003 - 12/06/2004 WACHOVIA SECURITIES, LLC (CRD#:19616) CHARLOTTE, NC
B
 10/01/1999 - 12/06/2004 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
B
 11/25/1998 - 10/01/1999 FIRST UNION CAPITAL MARKETS CORP. (CRD#:6124) CHARLOTTE, NC
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.