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Detailed Report
THOMAS MICHAEL CARTIN
THOMAS CARTIN
CRD#: 4565652
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 115 W COURT ST
DOYLESTOWN, PA 18901
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2003 (1 year)2 FIRMS2021 - 2023 (1 year)2 FIRMS2023 - 2024 (<1 year)2 FIRMS2024 - Present (<1 year)BCITIZENS SECURITIES, INC. (CRD# 39550)2016 - 2021 (5 years)BPNC INVESTMENTS (CRD# 129052)2005 - 2016 (10 years)BIFMG SECURITIES, INC. (CRD# 14416)2004 - 2004 (<1 year)BQUICK & REILLY, INC. (CRD# 11217)2003 - 2004 (<1 year)IACITIZENS INVESTMENT SERVICES (CRD# 39550)2019 - 2021 (2 years)
Disclosure(s)
View By:
1/18/2023
Employment Separation After Allegations
License(s)

State Registrations

IA
New Jersey 5/9/2024
B
Pennsylvania 5/9/2024
IA
Pennsylvania 5/8/2024

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, 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)
115 W COURT ST, DOYLESTOWN, PA 18901
Registered with this firm since 5/8/2024
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
115 W COURT ST, DOYLESTOWN, PA 18901
Registered with this firm since 5/6/2024
Previous Registration(s)
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IA
 09/25/2023 - 03/27/2024 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) Warrington, PA
B
 09/20/2023 - 03/27/2024 PRUCO SECURITIES, LLC. (CRD#:5685) Warrington, PA
IA
 11/19/2021 - 07/14/2023 TRUIST ADVISORY SERVICES, INC. (CRD#:283390) WARMINSTER, PA
B
 11/19/2021 - 07/14/2023 TRUIST INVESTMENT SERVICES, INC. (CRD#:17499) WARMINSTER, PA
IA
 01/31/2019 - 11/17/2021 CITIZENS INVESTMENT SERVICES (CRD#:39550) DOYLESTOWN, PA
B
 02/10/2016 - 11/17/2021 CITIZENS SECURITIES, INC. (CRD#:39550) DOYLESTOWN, PA
B
 06/29/2005 - 01/22/2016 PNC INVESTMENTS (CRD#:129052) WILLOW GROVE, PA
B
 05/10/2004 - 11/26/2004 IFMG SECURITIES, INC. (CRD#:14416) PURCHASE, NY
B
 11/21/2003 - 05/20/2004 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
B
 08/08/2002 - 10/03/2003 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
B
 08/08/2002 - 10/03/2003 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
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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.