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THOMAS MONROE WALTON
TOMMY MONROE WALTON
CRD#: 5096205
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 30050 CHAGRIN BLVD STE 150
PEPPER PIKE, OH 44124
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2007 (<1 year)2 FIRMS2011 - 2017 (5 years)2 FIRMS2017 - Present (7 years)BW&S BROKERAGE SERVICES, INC. (CRD# 8099)2008 - 2009 (1 year)
License(s)

State Registrations

B
Indiana 4/12/2017

IA
Ohio 4/12/2017

B
Ohio 4/12/2017

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)
30050 CHAGRIN BLVD STE 150, PEPPER PIKE, OH 44124
SOUTH EUCLID, OH
Registered with this firm since 4/12/2017

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
30050 CHAGRIN BLVD STE 150, PEPPER PIKE, OH 44124
SOUTH EUCLID, OH
Registered with this firm since 4/12/2017

Previous Registration(s)
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IA
10/31/2011 - 04/05/2017 PNC INVESTMENTS (CRD#:129052) CLEVELAND, OH
B
07/11/2011 - 04/05/2017 PNC INVESTMENTS (CRD#:129052) CLEVELAND, OH
B
01/28/2008 - 01/15/2009 W&S BROKERAGE SERVICES, INC. (CRD#:8099) WILLOUGHBY, OH
IA
05/08/2006 - 01/03/2007 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) MAYFIELD HEIGHTS, OH
B
05/04/2006 - 01/03/2007 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) MAYFIELD HEIGHTS, OH
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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.