Thomas PeckCRD Number: 3189539
Current Firm: Wells Fargo Clearing Services, LLC
Thomas Peck (CRD# 3189539) is an Investment Advisor Representative working at Wells Fargo Clearing Services, LLC in Orlando, FL and has over 18 years of experience in the finance industry.
Ameriprise Financial Services, Inc.
American Financial Advisors Inc.
Retirement Wealth Advisors, Inc.
|Wells Fargo Clearing Services, LLC||Orlando, FL||Nov 2016 - Current||1|
|Wells Fargo Advisors LLC||Orlando, FL||May 2009 - Nov 2016||7|
|Wachovia Securities, LLC||Orlando, FL||Feb 2009 - May 2009||< 1|
|Citigroup Global Markets Inc.||Winter Park, FL||Jan 1999 - Feb 2009||10|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jun 1999|
|S65||NASAA Investment Advisors Law Examination||Jul 1999|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management409,716MILLIONS
Total Number of Accounts1,359,521ACCOUNTS
Average Account Value$301,368
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY