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Thomas Andrew Ganun

Wells Fargo Clearing Services, LLC

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About Thomas Andrew Ganun

Thomas Ganun is an active Broker and Investment Advisor Representative with over 30 years of experience in the financial services industry. Thomas has been with Wells Fargo Clearing Services, LLC since November 2016 and previously worked with Wachovia Securities, Inc., Wachovia Brokerage Service, Central Fidelity Securities, Inc., JMC Financial Corporation, Crestar Securities Corporation, Olde Discount Corporation, Prudential Securities Incorporated, Brokers Securities, Inc., and First Jersey Securities, Inc. Thomas holds several securities licenses and is registered in multiple states. Thomas is a member of the Financial Industry Regulatory Authority (FINRA).

Firm Information

Thomas Ganun 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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Thomas Ganun’s Registration & Firm History

VA

11/05/2002 - Present

Wells Fargo Clearing Services, LLC (YORKTOWN VA)

NC

02/14/2000 - 06/15/2002

WACHOVIA SECURITIES, INC. (CHARLOTTE NC)

NC

01/28/1998 - 02/14/2000

WACHOVIA BROKERAGE SERVICE (WINSTON SALEM NC)

NE

01/10/1997 - 01/28/1998

CENTRAL FIDELITY SECURITIES, INC. (OMAHA NE)

MA

01/26/1995 - 12/31/1996

JMC FINANCIAL CORPORATION (BOSTON MA)

VA

04/21/1994 - 01/25/1995

CRESTAR SECURITIES CORPORATION (RICHMOND VA)

MI

08/06/1992 - 11/22/1993

OLDE DISCOUNT CORPORATION (DETROIT MI)

NY

01/09/1989 - 08/06/1992

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NA

01/29/1987 - 01/18/1989

BROKERS SECURITIES, INC.

NA

09/11/1986 - 12/18/1986

FIRST JERSEY SECURITIES, INC.

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Licenses & Designations

BOTH

Issued 10/29/2002

Series 66 - Uniform Combined State Law Examination

IA

Issued 01/29/1997

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/30/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/29/2005

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 07/28/2005

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 08/23/1993

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/16/1986

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 4 public disclosures for Thomas Andrew Ganun. Review regulatory record here.
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