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Thomas Lynn Peterson

Wells Fargo Clearing Services, LLC

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About Thomas Lynn Peterson

Thomas Lynn Peterson has been an active financial professional since 1989. Thomas is currently registered with Wells Fargo Clearing Services, LLC in both Georgia and South Carolina. Thomas has experience with several firms, including LPL Financial LLC, Investment Centers of America, Inc., and Cetera Investment Services LLC. Thomas's experience and dedication to his clients are evident in his diverse range of specializations, which include retirement planning, college savings, estate planning, insurance, and mutual funds. Thomas has a strong track record of success in helping individuals and families reach their financial goals.

Firm Information

Thomas Peterson 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 Peterson’s Registration & Firm History

GA

01/31/2020 - Present

Wells Fargo Clearing Services, LLC (SAVANNAH GA)

WV

11/29/2017 - 01/13/2020

LPL FINANCIAL LLC (BERKELEY SPRINGS WV)

WV

10/03/2016 - 11/29/2017

INVESTMENT CENTERS OF AMERICA, INC. (BERKELEY SPRINGS WV)

WV

06/20/2012 - 09/30/2016

CETERA INVESTMENT SERVICES LLC (BERKELEY SPRINGS WV)

PA

04/30/2007 - 06/13/2012

INVEST FINANCIAL CORPORATION (SHIPPENSBURG PA)

PA

08/17/2005 - 04/30/2007

PFIC SECURITIES CORPORATION (CHAMBERSBURG PA)

TX

01/05/2001 - 08/17/2005

FISERV INVESTOR SERVICES, INC. (HOUSTON TX)

NJ

05/15/1989 - 12/22/2000

PRUCO SECURITIES CORPORATION (NEWARK NJ)

NJ

05/15/1989 - 12/10/1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)

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Licenses & Designations

BOTH

Issued 10/21/2019

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/12/1989

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/12/2004

Series 53 - Municipal Securities Principal Examination

BC

Issued 12/30/2003

Series 24 - General Securities Principal Examination

BC

Issued 01/23/1995

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/22/2001

Series 7 - General Securities Representative Examination

BC

Issued 05/11/1989

Series 6 - Investment Company Products/Variable Contracts 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 are no public disclosures for Thomas Lynn Peterson.
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