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Detailed Report
THOMAS CASEY SULLIVAN
CRD#: 720143
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 10369 CLAYTON RD
FRONTENAC, MO 63131
Registration History
1980198519901995200020052010201520202025IAWELLS FARGO ADVISORS (CRD# 19616)2024 - Present (<1 year)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2008 - Present (17 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1990 - 2008 (17 years)BLASALLE ST SECURITIES, L.L.C. (CRD# 7191)1987 - 1990 (3 years)BREFCO SECURITIES, INC. (CRD# 14094)1986 - 1987 (<1 year)BCONTISECURITIES, INC. (CRD# 6926)1980 - 1984 (3 years)
License(s)

State Registrations

B
Arizona 7/29/2015
IA
Missouri 10/24/2024
B
California 1/1/2008
B
Oregon 1/1/2008
B
Florida 1/1/2008
B
Rhode Island 1/1/2008
B
Georgia 2/15/2024
B
South Carolina 10/15/2015
B
Illinois 1/1/2008
B
Tennessee 9/21/2023
B
Iowa 1/1/2008
B
Texas 1/1/2008
B
Kansas 6/7/2019
B
Virginia 3/2/2021
B
Missouri 1/1/2008

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)
10369 CLAYTON RD, FRONTENAC, MO 63131
St. Louis, MO
Registered with this firm since 10/24/2024
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
10369 CLAYTON RD, FRONTENAC, MO 63131
St. Louis, MO
Registered with this firm since 1/1/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 08/03/1990 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
B
 03/19/1987 - 08/10/1990 LASALLE ST SECURITIES, L.L.C. (CRD#:7191) ELMHURST, IL
B
 04/25/1986 - 01/12/1987 REFCO SECURITIES, INC. (CRD#:14094)
B
 12/02/1980 - 11/13/1984 CONTISECURITIES, INC. (CRD#:6926)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.