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THOMAS JAMES FALEY
Tom Faley
CRD#: 4052570
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 777 108TH AVE NE
STES 2400 & 2500
BELLEVUE, WA 98004
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2001 - 2016 (14 years)2 FIRMS2016 - Present (8 years)BIDS LIFE INSURANCE COMPANY (CRD# 6321)2001 - 2006 (4 years)
License(s)

State Registrations

B
Alabama 10/3/2019

B
New Hampshire 12/8/2016

B
Alaska 6/7/2016

B
New Jersey 10/28/2020

B
Arizona 6/7/2016

B
New Mexico 6/7/2016

B
California 6/7/2016

B
New York 7/11/2024

IA
California 8/25/2022

B
North Carolina 6/7/2016

B
Colorado 6/7/2016

B
Ohio 5/31/2024

B
Florida 6/7/2016

B
Oklahoma 8/17/2022

B
Georgia 6/7/2016

B
Oregon 2/27/2017

B
Hawaii 12/7/2016

B
Pennsylvania 6/7/2016

B
Idaho 8/15/2019

B
South Carolina 8/28/2020

B
Illinois 1/3/2023

B
Tennessee 5/3/2021

B
Indiana 7/11/2024

B
Texas 1/14/2020

B
Kansas 6/7/2016

IA
Texas 1/14/2020

B
Maine 9/17/2020

B
Utah 6/7/2016

B
Maryland 5/3/2019

B
Vermont 5/18/2022

B
Massachusetts 5/25/2017

B
Virginia 5/9/2023

B
Minnesota 6/7/2016

B
Washington 6/7/2016

B
Missouri 2/15/2017

IA
Washington 6/7/2016

B
Montana 2/15/2017

B
Wisconsin 8/2/2022

B
Nevada 9/2/2022

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)
777 108TH AVE NE STES 2400 & 2500, BELLEVUE, WA 98004
Coronado, CA
Registered with this firm since 6/7/2016

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
777 108TH AVE NE STES 2400 & 2500, BELLEVUE, WA 98004
Coronado, CA
Registered with this firm since 6/7/2016

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
12/18/2001 - 06/07/2016 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) Bellevue, WA
B
12/10/2001 - 06/07/2016 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) Bellevue, WA
B
12/12/2001 - 07/03/2006 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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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.