linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Douglas J Thompson

Wells Fargo Clearing Services, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Douglas? Claim Your Profile

About Douglas J Thompson

Douglas J. Thompson is a financial professional with over 30 years of experience in the financial services industry. Douglas is currently registered with Wells Fargo Clearing Services, LLC as a Registered Representative. Douglas has also worked for RBC Capital Markets, LLC, Morgan Stanley, and UBS Financial Services Inc., among other firms. Douglas holds FINRA Series 7, 31, and 66 securities licenses and has been a registered representative since 1994.

Firm Information

Douglas 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.

check

financial planning services

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

check

pension consulting services

Guidance on pension options to ensure a secure financial future.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

portfolio management for businesses

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

check

portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

check

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.

check

fixed fees

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

check

commissions

Earned based on transactions or products sold.

check

percentage of assets

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

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Douglas Thompson’s Registration & Firm History

NH

06/26/2024 - Present

Wells Fargo Clearing Services, LLC (MANCHESTER NH)

NH

10/17/2014 - 07/10/2024

RBC CAPITAL MARKETS, LLC (PETERBOROUGH NH)

NH

06/01/2009 - 11/19/2014

MORGAN STANLEY (MANCHESTER NH)

NH

08/01/2008 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (MANCHESTER NH)

NH

04/19/2002 - 08/08/2008

UBS FINANCIAL SERVICES INC. (MANCHESTER NH)

NY

03/09/2002 - 05/06/2002

RBC DAIN RAUSCHER INC. (NEW YORK NY)

MA

10/10/1995 - 03/09/2002

TUCKER ANTHONY INCORPORATED (BOSTON MA)

NJ

10/31/1994 - 10/05/1995

INVESTORS ASSOCIATES, INC. (HACKENSACK NJ)

Not sure if Douglas J Thompson is right for you?

Licenses & Designations

BOTH

Issued 04/27/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/04/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/04/2010

Series 31 - Futures Managed Funds Examination

BC

Issued 10/29/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for Douglas J Thompson. Review regulatory record here.
Not sure if Douglas J Thompson is right for you?