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WESLEY A THOMPSON
WES THOMPSON, WESLEY AARON THOMPSON
CRD#: 4964688
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1525 W WT HARRIS BLVD 5TH FL
[CLT-RCAST]
CHARLOTTE, NC 28262
Registration History
200620082010201220142016201820202022202420264 FIRMS2008 - 2008 (<1 year)2 FIRMS2008 - 2010 (1 year)3 FIRMS2010 - 2012 (2 years)2 FIRMS2012 - 2017 (4 years)2 FIRMS2018 - 2018 (<1 year)2 FIRMS2018 - 2019 (1 year)2 FIRMS2019 - 2019 (<1 year)2 FIRMS2020 - 2022 (2 years)2 FIRMS2022 - Present (2 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)2006 - 2008 (1 year)BMCDONALD INVESTMENTS INC. (CRD# 566)2005 - 2006 (1 year)IAASPIRE PRIVATE CAPITAL (CRD# 154116)2017 - 2018 (<1 year)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2007 - 2008 (<1 year)
License(s)

State Registrations

B
Alabama 7/19/2022

B
Nebraska 7/19/2022

B
Alaska 7/19/2022

B
Nevada 7/19/2022

B
Arizona 7/19/2022

B
New Hampshire 7/22/2022

B
Arkansas 7/19/2022

B
New Jersey 7/19/2022

B
California 7/19/2022

B
New Mexico 7/19/2022

B
Colorado 7/19/2022

B
New York 7/19/2022

B
Connecticut 7/19/2022

B
North Carolina 7/19/2022

B
Delaware 7/19/2022

IA
North Carolina 7/19/2022

B
District of Columbia 7/19/2022

B
North Dakota 7/19/2022

B
Florida 7/19/2022

B
Ohio 7/19/2022

B
Georgia 7/19/2022

B
Oklahoma 7/19/2022

B
Hawaii 7/19/2022

B
Oregon 7/19/2022

B
Idaho 7/19/2022

B
Pennsylvania 7/19/2022

B
Illinois 7/19/2022

B
Puerto Rico 7/19/2022

B
Indiana 7/19/2022

B
Rhode Island 7/19/2022

B
Iowa 7/19/2022

B
South Carolina 7/19/2022

B
Kansas 7/19/2022

B
South Dakota 7/19/2022

B
Kentucky 7/19/2022

B
Tennessee 7/19/2022

B
Louisiana 7/19/2022

B
Texas 7/19/2022

B
Maine 7/19/2022

IA
Texas 7/19/2022

B
Maryland 7/19/2022

B
Utah 7/19/2022

B
Massachusetts 7/19/2022

B
Vermont 7/19/2022

B
Michigan 7/19/2022

B
Virginia 7/19/2022

B
Minnesota 7/19/2022

B
Washington 7/19/2022

B
Mississippi 7/19/2022

B
West Virginia 7/19/2022

B
Missouri 7/19/2022

B
Wisconsin 7/19/2022

B
Montana 7/19/2022

B
Wyoming 7/19/2022

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)
1525 W WT HARRIS BLVD 5TH FL [CLT-RCAST], CHARLOTTE, NC 28262
Registered with this firm since 7/19/2022

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1525 W WT HARRIS BLVD 5TH FL [CLT-RCAST], CHARLOTTE, NC 28262
Registered with this firm since 7/19/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
02/03/2020 - 06/24/2022 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) NAPLES, FL
B
01/31/2020 - 06/24/2022 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) NAPLES, FL
IA
09/06/2019 - 11/11/2019 INDEPENDENT FINANCIAL PARTNERS (CRD#:125112) Bonita Springs, FL
B
09/03/2019 - 11/11/2019 IFP SECURITIES, LLC (CRD#:297287) BONITA SPRINGS, FL
IA
07/03/2018 - 07/31/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) CHARLOTTE, NC
B
07/03/2018 - 07/31/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) CHARLOTTE, NC
IA
04/11/2018 - 06/15/2018 PARK AVENUE SECURITIES LLC (CRD#:46173) CHARLOTTE, NC
B
03/02/2018 - 06/15/2018 PARK AVENUE SECURITIES LLC (CRD#:46173) CHARLOTTE, NC
IA
06/20/2017 - 03/01/2018 ASPIRE PRIVATE CAPITAL (CRD#:154116) CORNELIUS, NC
IA
11/06/2012 - 06/01/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) FORT MYERS, FL
B
10/31/2012 - 06/01/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) FORT MYERS, FL
IA
06/21/2010 - 10/19/2012 CICCARELLI ADVISORY SERVICES INC (CRD#:110904) NAPLES, FL
IA
08/16/2010 - 06/08/2012 FSC SECURITIES CORPORATION (CRD#:7461) BONITA SPRINGS, FL
B
01/12/2010 - 06/08/2012 FSC SECURITIES CORPORATION (CRD#:7461) BONITA SPRINGS, FL
IA
12/02/2008 - 01/07/2010 WELLS FARGO ADVISORS, LLC (CRD#:19616) NAPLES, FL
B
11/10/2008 - 01/07/2010 WELLS FARGO ADVISORS, LLC (CRD#:19616) NAPLES, FL
IA
10/31/2008 - 11/05/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) NAPLES, FL
B
10/27/2008 - 11/05/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) NAPLES, FL
IA
01/01/2008 - 11/03/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) NAPLES, FL
B
01/01/2008 - 11/03/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) NAPLES, FL
B
10/30/2006 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) NAPLES, FL
IA
09/20/2007 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) NAPLES, FL
B
11/15/2005 - 11/06/2006 MCDONALD INVESTMENTS INC. (CRD#:566) NAPLES, FL
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Broker
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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.