Thomas C. Bridge
Professional summary
Thomas Christopher Bridge was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial advisor and started their career in finance in 1989. Prior to being barred, Thomas had worked at 7 firms, which includes WELLS FARGO CLEARING SERVICES LLC, A. G. EDWARDS & SONS INC., MORGAN STANLEY DW INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, PRUDENTIAL EQUITY GROUP LLC, CHATFIELD DEAN & CO. INC., THE STUART-JAMES COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2008 - April 2, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - April 2, 2008
WELLS FARGO CLEARING SERVICES, LLC
March 23, 1995 - January 1, 2008
A. G. EDWARDS & SONS, INC.
March 18, 1995 - January 3, 2008
A. G. EDWARDS & SONS, INC.
August 25, 1992 - February 22, 1995
MORGAN STANLEY DW INC.
February 19, 1992 - July 9, 1992
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 22, 1991 - November 14, 1991
PRUDENTIAL EQUITY GROUP, LLC
November 27, 1990 - July 26, 1991
CHATFIELD DEAN & CO., INC.
January 24, 1989 - December 3, 1990
THE STUART-JAMES COMPANY, INCORPORATED
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 | 183 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2025 | ||
| 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.
