Thomas G. Ley

WELLS FARGO ADVISORS FINANCIAL NETWORK

PT. PLEASANT BEACH, NJ 08742

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CRD#: 1127048

Professional summary

Thomas Gerard Ley, who also goes by Thomas Gerard Ley, is a registered financial advisor currently at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC located in Pt. Pleasant Beach, New Jersey.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Thomas has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Gerard Ley

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

UW FRANCES M LEY TESTAMENTARY TRUST; INV RELATED; MANASQUAN, NJ; CO-TRUSTEE; START DATE 11/15/2024; TIME DEVOTED 1 HOUR PER MONTH; 0 HOURS DURING TRADING HOURS; MANAGE MONEY

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Gerard Ley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Thomas Gerard Ley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 21, 2024 - Present

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Office #1: 501 Broadway Suite 201 [satellite], Pt. Pleasant Beach, NJ 08742

RIA

CRD#: 11025

PT. PLEASANT BEACH, NJ

Current

November 20, 2024 - Present

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Office #1: 501 Broadway Suite 201 [satellite], Pt. Pleasant Beach, NJ 08742

RIA

CRD#: 11025

PT. PLEASANT BEACH, NJ

Past

May 24, 2012 - November 15, 2024

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

TOMS RIVER, NJ

Past

May 24, 2012 - November 15, 2024

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

TOMS RIVER, NJ

Past

June 1, 2009 - June 5, 2012

MORGAN STANLEY

RIA

CRD#: 149777

SHREWSBURY, NJ

Past

June 1, 2009 - June 5, 2012

MORGAN STANLEY

CRD#: 149777

SHREWSBURY, NJ

Past

November 18, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SHREWSBURY, NJ

Past

November 18, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SHREWSBURY, NJ

Past

July 18, 2002 - November 22, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

RED BANK, NJ

Past

January 19, 2000 - November 22, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 15, 1991 - April 18, 1995

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

August 28, 1990 - January 27, 2000

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

April 24, 1989 - August 30, 1990

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

May 8, 1984 - April 13, 1989

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

April 19, 1983 - April 26, 1984

UNDERHILL ASSOCIATES, INCORPORATED

CRD#: 6999

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025 / SEC#: 801-57434, 8-28721

RIA

Registered Investment Advisory firm - SEC (4/3/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(1/8/2025)

California
(11/20/2024)

Connecticut
(11/20/2024)

District of Columbia
(11/20/2024)

Florida
(11/20/2024)

Georgia
(11/20/2024)

Indiana
(11/21/2024)

Kansas
(12/6/2024)

New Hampshire
(3/18/2025)

New Jersey
(11/20/2024)

IAR

New Jersey
(11/21/2024)

New York
(11/20/2024)

North Carolina
(11/25/2024)

Pennsylvania
(11/20/2024)

South Carolina
(11/20/2024)

Tennessee
(12/19/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/20/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/10/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/5/1991

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/16/1983

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025 / SEC#: 801-57434, 8-28721

RIA

Registered Investment Advisory firm - SEC (4/3/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103-2205

Mailing Address

One North Jefferson Avenue H0004-05c, St. Louis, MO 63103

Phone number

(314) 875-3000

Established

Delaware since 03/12/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

3,658

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WFAFN - WRAP FEE BROCHURE ADVISORY PROGRAMS (9/22/2025)

WFAFN - PART 2A - RETIREMENT PLAN CONSULTING (9/22/2025)

FEE-BASED PLANNING SERVICES (9/2/2025)

WFAFN - PART 2A - INSTITUTIONAL CONSULTING (8/4/2025)

Direct owners and executive officers

Name	Position	CRD#
WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC	SOLE MEMBER
CRAVEN, JAMES J	BOARD OF MANAGERS	4323533
GINDI, SOL	BOARD OF MANAGERS	4903526
KARANIK, ERIK ANTHONY	CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS	2260890
LACEY, PAUL	PRINCIPAL OPERATIONS OFFICER/CONTROL PRINCIPAL	5616656
MARKMANN, DAVID FRANZ	DESIGNATED TEXAS OFFICER	2637778
PATEL, RAKESH	CHIEF FINANCIAL OFFICER	5385585
SANKOVICH, PAUL CAMERON	CHIEF COMPLIANCE OFFICER	2475029
TA, KIMBERLY CROWDER	BOARD OF MANAGERS/CONTROL PRINCIPAL	4717506
TYERS, JOHN R	PRESIDENT/BOARD OF MANAGERS/CONTROL PRINCIPAL	2632380

Regulatory assets under management

Total Number of Accounts	401,726
AUM (Assets Under Management)	$ 197,360,196,619

Disclosures

Regulatory Event	35
Arbitration	39

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
12/11/2023	Cover Page	Report
02/17/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas G. Ley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Gerard Ley's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Thomas Gerard Ley's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

CIBC WORLD MARKETS CORP.

CIBC WORLD MARKETS CORP.

PRUDENTIAL EQUITY GROUP, LLC

CITIGROUP GLOBAL MARKETS INC.

UNDERHILL ASSOCIATES, INCORPORATED

Primary Firm SEC Registration

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/20/1996

Series 63

Date: 7/10/1984

SIE

Date: 10/1/2018

Series 3

Date: 6/5/1991

Series 7

Date: 4/16/1983

FINRA

Current Firm

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

TRUST BUT VERIFY

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