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JAMES EDWARD THOMSON
JAMES E THOMSON
CRD#: 5378306
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 4180 NW FEDERAL HWY
JENSEN BEACH, FL 34957
Registration History
20082010201220142016201820202022202420262 FIRMS2009 - 2011 (1 year)2 FIRMS2011 - 2015 (4 years)2 FIRMS2015 - Present (9 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2007 - 2009 (1 year)
License(s)

State Registrations

B
Alabama 8/13/2024

B
New Hampshire 8/13/2024

B
Arkansas 5/1/2024

B
New Jersey 5/28/2021

B
California 5/1/2024

B
New York 8/9/2023

B
Colorado 8/13/2024

B
North Carolina 8/11/2023

B
Connecticut 8/13/2024

B
Ohio 1/18/2023

B
Delaware 8/13/2024

B
Pennsylvania 12/2/2015

B
Florida 12/2/2015

B
South Carolina 8/13/2024

IA
Florida 12/4/2015

B
Tennessee 5/1/2024

B
Georgia 12/2/2015

B
Texas 12/14/2015

B
Illinois 5/1/2024

IA
Texas 12/14/2015

B
Indiana 6/4/2021

B
Vermont 1/3/2023

B
Kentucky 9/13/2023

B
Virginia 8/13/2024

B
Maryland 9/9/2016

B
Washington 1/12/2024

B
Massachusetts 12/2/2015

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)
4180 NW FEDERAL HWY, JENSEN BEACH, FL 34957
3181 SE FEDERAL HWY, STUART, FL 34994
Registered with this firm since 12/4/2015

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
4180 NW FEDERAL HWY, JENSEN BEACH, FL 34957
3181 SE FEDERAL HWY, STUART, FL 34994
Registered with this firm since 12/2/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/14/2011 - 12/03/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) STUART, FL
B
01/14/2011 - 12/03/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) STUART, FL
IA
07/27/2009 - 01/21/2011 UBS FINANCIAL SERVICES INC. (CRD#:8174) PALM BEACH, FL
B
06/03/2009 - 01/21/2011 UBS FINANCIAL SERVICES INC. (CRD#:8174) PALM BEACH GARDENS, FL
B
07/27/2007 - 04/28/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) STUART, FL
For additional information about investment advisers or broker-dealers, please visit
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.