Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
BEN EDWARD THOMAS
CRD#: 4482614
IA
B
WELLS FARGO ADVISORSCRD#: 19616 8115 PRESTON RD
STE 300
DALLAS, TX 75225
STE 300
DALLAS, TX 75225
View By:
6/26/2009
Customer Dispute
Settled
6/5/2009
Customer Dispute
Closed-No Action
State Registrations
B
Alabama 7/7/2011
B
New Hampshire 5/16/2022
B
Alaska 2/25/2022
B
New Jersey 3/9/2020
B
Arizona 4/2/2019
B
New Mexico 2/20/2020
B
Arkansas 6/28/2019
B
New York 11/17/2021
B
California 2/19/2020
B
North Carolina 8/18/2010
B
Colorado 7/29/2009
B
North Dakota 4/2/2019
B
District of Columbia 1/16/2019
B
Ohio 10/1/2010
B
Florida 8/20/2015
B
Oklahoma 5/24/2010
B
Georgia 7/24/2023
B
Oregon 11/29/2021
B
Idaho 2/19/2016
B
Pennsylvania 3/15/2010
B
Illinois 7/24/2023
B
Rhode Island 4/16/2015
B
Kansas 8/26/2015
B
Tennessee 5/20/2020
B
Louisiana 5/19/2010
B
Texas 5/27/2009
B
Maryland 4/19/2022
IA
Texas 5/27/2009
B
Michigan 5/1/2020
B
Vermont 4/14/2022
B
Missouri 6/16/2022
B
Washington 2/20/2020
B
Nevada 11/26/2024
B
West Virginia 2/22/2021
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 5/27/2009
B
Registered with this firm since 5/27/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/01/2004 - 06/04/2009 | DALLAS, TX | |
B | 10/29/2004 - 06/04/2009 | DALLAS, TX | |
IA | 06/20/2002 - 11/11/2004 | FORT WORTH, TX | |
B | 04/19/2002 - 11/11/2004 | NEW YORK, NY | |
B | 01/23/2002 - 02/19/2002 | MINNEAPOLIS, MN | |
B | 01/23/2002 - 02/19/2002 | MINNEAPOLIS, MN |
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.