Thomas L. Hedges
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Lewis Hedges was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 5 firms and has passed the Series 63, Series 7TO, Series 52TO, Series 99TO, SIE, Series 7, Series 24, Series 53, Series 4 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2009 - May 21, 2021
WELLS FARGO SECURITIES, LLC
September 1, 1993 - November 6, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
March 26, 1992 - August 31, 1993
CITICORP INVESTMENT SERVICES
September 17, 1986 - November 27, 1992
CITIBROKERAGE, INC.
February 21, 1984 - December 4, 1984
CONTINENTAL AMERICAN SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 2/6/2024
General Securities Representative ExaminationSeries 52TO
Date: 2/6/2024
Municipal Securities Representative ExaminationSeries 99TO
Date: 2/6/2024
Operations Professional ExaminationCurrent Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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