TH
Thomas P. Haugh
WELLS STREET ADVISORS
Chicago, IL 60607
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CRD#: 2185651
TH
Professional summary
Thomas Patrick Haugh is a registered financial advisor currently at WELLS STREET ADVISORS, LLC located in Chicago, Illinois and PTI SECURITIES & FUTURES L. P. located in Chicago, Illinois.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Thomas has worked at 3 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 3, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Tom Haugh is a control person and Chief Investment Officer of PTI Securities & Futures L.P., a FINRA member registered broker-dealer, and WSA. WSA is wholly owned by PTI Securities. WSA professionals who effect transactions for advisory clients may receive transaction or commission compensation from PTI. The recommendation of securities transactions for commission creates a conflict of interest in that WSA is economically incented to effect securities transactions for clients. Although WSA strives to put its clients' interests first, such recommendations may be viewed as being in the best interests of WSA rather than in the client's best interest. WSA advisory clients are not compelled to effect securities transactions through PTI. Tom Haugh spends 40 hours per week on this activity. Tom Haugh is the Chief Investment Officer for Wells Street Advisors, LLC ("WSA"), an Illinois registered investment adviser. He is also a control person of both PTI Securities and WSA. As a matter of disclosure, please be advised that Mr. Haugh's dual relationship with WSA creates certain conflicts of interest. Tom Haugh hosts a radio program called Stocks and Jocks, in which he discusses retirement topics and concerns. He does not receive compensation for this activity. Tom Haugh spends 10 hours per week on this activity. Tom Haugh may provide expert witness testimony as it relates to options strategy and retail brokerage accounts. For this he receives compensation. This service is intermittent, and Tom Haugh has spent 0 hours on this activity since 2018. Tom Haugh served on the Board of Directors for the Chicago Board Options Exchange from 1992-1998.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Patrick Haugh's 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®
NoneExperience
Current
May 17, 2019 - Present
WELLS STREET ADVISORS, LLC
Office #1: 411 S. Wells Street Suite 900, Chicago, IL 60607RIA
CRD#: 166700
Chicago, IL
Current
December 9, 1991 - Present
PTI SECURITIES & FUTURES L. P.
Office #1: 411 S Wells Suite 900, Chicago, IL 60607Office #2: 411 S Wells St Suite 900, Chicago, IL 60607BD
CRD#: 29275
Chicago, IL
Past
March 24, 2021 - February 28, 2024
NAJARIAN FAMILY OFFICE, LLC
RIA
CRD#: 282209
CHICAGO, IL
Past
April 12, 2002 - December 31, 2014
PTI SECURITIES & FUTURES L. P.
RIA
CRD#: 29275
CHICAGO, IL
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.RR
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
RR
Florida(3/26/1992)
RR
Illinois(3/16/1992)
IAR
Illinois(5/17/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WS
WELLS STREET ADVISORS, LLC
ETF MANAGER RESOURCE, LLC | WELLS STREET ADVISORS, LLC | ETFMANAGERRESOURCE, LLC
CRD#: 166700 / SEC#:
Illinois
Registered Investment Advisory firm - (3/14/2013 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
411 S. Wells Street Suite 900, Chicago, IL 60607
Mailing Address
Phone number
(312) 663-3052
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 475,000 |
Red Flags
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