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Arthur Lee Thompson

Wells Fargo Clearing Services, LLC

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About Arthur Lee Thompson

Arthur Lee Thompson is a registered investment advisor representative with Wells Fargo Clearing Services, LLC. Arthur has been in the financial services industry since 1976 and has experience working with various firms, including Morgan Stanley, Citigroup Global Markets Inc., CIBC World Markets, Oppenheimer & Co., Inc., and Bear, Stearns & Co. Inc. Arthur holds Series 3, 5, 7, 63, and 65 licenses and is registered in multiple states, including New York, California, Colorado, Connecticut, Delaware, Florida, Georgia, Illinois, Louisiana, Maryland, Massachusetts, Missouri, Nevada, New Jersey, New Mexico, North Carolina, Ohio, Pennsylvania, Texas, Vermont, and Virginia. Arthur offers financial planning, portfolio management for businesses and individuals, and investment consulting services to institutional clients.

Firm Information

Arthur Thompson is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Arthur Thompson’s Registration & Firm History

NY

07/27/2021 - Present

Wells Fargo Clearing Services, LLC (NEW YORK NY)

NY

06/01/2009 - 11/14/2013

MORGAN STANLEY (NEW YORK NY)

NY

10/15/1999 - 06/01/2009

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

11/05/1993 - 11/05/1999

CIBC WORLD MARKETS (NEW YORK NY)

NA

02/01/1994 - 04/18/1995

OPPENHEIMER & CO., INC.

NY

08/22/1991 - 10/29/1993

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NY

02/27/1980 - 08/21/1991

MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)

NA

10/21/1976 - 02/27/1980

MORGAN STANLEY & CO., INCORPORATED

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Licenses & Designations

IA

Issued 07/19/1995

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/02/1980

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/23/1986

Series 3 - National Commodity Futures Examination

BC

Issued 03/16/1982

Series 5 - Interest Rate Options Examination

BC

Issued 04/24/1980

PC - AMEX Put and Call Exam

BC

Issued 10/16/1976

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are 7 public disclosures for Arthur Lee Thompson. Review regulatory record here.
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