Blair A. Thompson
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.
Blair Aden Thompson, who also goes by Blair Thompson, was a registered financial professional .
Blair is a previously registered financial professional and started their career in finance in 1985. Blair had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2018 - July 28, 2025
WELLS FARGO CLEARING SERVICES, LLC
July 20, 2018 - July 28, 2025
WELLS FARGO CLEARING SERVICES, LLC
January 27, 2016 - February 1, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 27, 2016 - February 1, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 19, 2013 - December 23, 2015
WELLS FARGO CLEARING SERVICES, LLC
December 19, 2013 - December 23, 2015
WELLS FARGO CLEARING SERVICES, LLC
November 21, 2013 - December 12, 2013
WADDELL & REED
April 24, 2013 - September 30, 2013
NESTWISE LLC
January 21, 2006 - March 10, 2010
MCGLINN CAPITAL MANAGEMENT INC
July 8, 2005 - December 31, 2005
MCGLINN CAPITAL MANAGEMENT INC
January 3, 1995 - May 18, 2004
VANGUARD MARKETING CORPORATION
September 2, 1988 - March 13, 1989
THOMSON MCKINNON SECURITIES INC.
July 25, 1987 - August 31, 1988
MORGAN STANLEY MARKET PRODUCTS INC.
October 22, 1985 - August 31, 1988
MORGAN STANLEY & CO. LLC
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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
Current Firm
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
