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THOMAS DAVID PECK
CRD#: 3189539
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 480 N ORLANDO AVE STE 200
WINTER PARK, FL 32789
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS1999 - 2009 (9 years)2 FIRMS2009 - Present (15 years)
Disclosure(s)
View By:
9/13/2001
Customer Dispute
Denied
7/20/2001
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 3/19/2009

B
Missouri 4/1/2013

B
Arizona 2/24/2020

B
Nevada 4/1/2013

B
California 9/22/2020

B
New York 2/19/2009

B
Connecticut 7/19/2012

B
North Carolina 2/19/2009

B
District of Columbia 4/1/2013

B
Ohio 4/25/2011

B
Florida 2/19/2009

B
Oregon 2/6/2014

IA
Florida 3/11/2009

B
Pennsylvania 2/19/2009

B
Georgia 2/19/2009

B
Tennessee 10/22/2019

B
Indiana 7/14/2009

B
Texas 8/2/2010

B
Louisiana 4/1/2013

IA
Texas 8/10/2010

B
Maryland 4/21/2015

B
Virginia 9/22/2020

B
Massachusetts 9/24/2013

B
Washington 2/4/2014

B
Michigan 4/1/2013

B
West Virginia 4/1/2013

B
Minnesota 2/19/2009

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)
480 N ORLANDO AVE STE 200, WINTER PARK, FL 32789
WINTER PARK, FL
Registered with this firm since 3/11/2009

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
480 N ORLANDO AVE STE 200, WINTER PARK, FL 32789
WINTER PARK, FL
Registered with this firm since 2/19/2009

Previous Registration(s)
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IA
05/13/1999 - 03/13/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WINTER PARK, FL
B
05/11/1999 - 03/13/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WINTER PARK, FL
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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.