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Thomas Taylor

Wells Fargo Clearing Services, LLC

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About Thomas Taylor

Thomas Taylor has been a registered representative in the financial services industry since 1976. He is currently registered with Wells Fargo Clearing Services, LLC, and has held previous positions at firms such as Charles Schwab & Co., Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Citigroup Global Markets Inc. He holds a variety of licenses and certifications, including Series 7, 63, 65, 9, 10, 24, 52, 53, and 99. Thomas is a highly experienced financial advisor with a proven track record of success in providing investment advice and financial planning services to individuals, families, and businesses.

Firm Information

Thomas Taylor 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 Taylor’s Registration & Firm History

CA

02/18/2015 - Present

Wells Fargo Clearing Services, LLC (WOODLAND HILLS CA)

CA

05/23/2012 - 02/23/2015

CHARLES SCHWAB & CO., INC. (LOS ANGELES CA)

CA

03/15/2012 - 04/27/2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CANOGA PARK CA)

CA

05/17/2010 - 01/18/2012

CITIGROUP GLOBAL MARKETS INC. (GLENDALE CA)

IA

02/15/2008 - 02/01/2010

CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)

CA

05/17/2006 - 02/11/2008

CUSO FINANCIAL SERVICES, L.P. (HAWTHORNE CA)

CT

06/16/2005 - 01/04/2006

ING FINANCIAL ADVISERS, LLC (WINDSOR CT)

TX

03/28/2001 - 11/22/2004

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

MN

07/07/2000 - 03/05/2001

PRIMEVEST FINANCIAL SERVICES, INC. (ST. CLOUD MN)

MN

05/10/2000 - 06/05/2000

PRIMEVEST FINANCIAL SERVICES, INC. (ST. CLOUD MN)

MN

10/14/1998 - 05/10/2000

BISYS BROKERAGE SERVICES, INC. (ST. CLOUD MN)

TX

11/21/1991 - 05/01/1997

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

NY

08/26/1991 - 10/31/1991

CITICORP SELECT INVESTMENTS (LONG ISLAND CITY NY)

SC

03/08/1990 - 04/22/1991

LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)

CA

07/06/1983 - 02/20/1990

SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)

NA

05/20/1976 - 07/18/1983

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

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Licenses & Designations

IA

Issued 09/13/1995

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/10/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/20/2000

Series 24 - General Securities Principal Examination

BC

Issued 10/31/1997

Series 53 - Municipal Securities Principal Examination

BC

Issued 06/12/1985

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

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/12/1977

PC - AMEX Put and Call Exam

BC

Issued 05/15/1976

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 no public disclosures for Thomas Taylor.
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