TC
Thomas M. Carbeau
WELLS FARGO SECURITIES
New York, NY 10001
Some features on this profile are disabled
CRD#: 2524656
TC
Professional summary
Thomas M Carbeau is a registered financial professional currently at WELLS FARGO SECURITIES, LLC located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1996. Thomas has worked at 5 firms and has passed the Series 63, Series 99TO, Series 16, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Thomas M Carbeau'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
December 28, 2015 - Present
WELLS FARGO SECURITIES, LLC
Office #1: 500 W 33rd St 30 Hudson Yards, New York, NY 10001Office #2: 194 S Wood Ave, Iselin, NJ 08830BD
CRD#: 126292
New York, NY
Past
July 10, 2010 - December 28, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
LOUISVILLE, KY
Past
August 28, 2006 - July 20, 2010
THOMAS WEISEL PARTNERS LLC
BD
CRD#: 46237
NEW YORK, NY
Past
February 6, 2002 - August 30, 2006
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
January 17, 2001 - January 28, 2002
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
May 9, 1996 - March 28, 2000
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(12/28/2015)
RR
Alaska(12/28/2015)
RR
Arizona(12/28/2015)
RR
Arkansas(12/28/2015)
RR
California(12/28/2015)
RR
Colorado(12/28/2015)
RR
Connecticut(12/28/2015)
RR
Delaware(12/28/2015)
RR
District of Columbia(12/28/2015)
RR
Florida(12/28/2015)
RR
Georgia(12/28/2015)
RR
Hawaii(12/28/2015)
RR
Idaho(12/28/2015)
RR
Illinois(12/28/2015)
RR
Indiana(12/28/2015)
RR
Iowa(12/28/2015)
RR
Kansas(12/28/2015)
RR
Kentucky(12/28/2015)
RR
Louisiana(12/28/2015)
RR
Maine(12/28/2015)
RR
Maryland(12/28/2015)
RR
Massachusetts(12/28/2015)
RR
Michigan(12/28/2015)
RR
Minnesota(12/28/2015)
RR
Mississippi(12/28/2015)
RR
Missouri(12/28/2015)
RR
Montana(12/28/2015)
RR
Nebraska(12/28/2015)
RR
Nevada(12/28/2015)
RR
New Hampshire(12/28/2015)
RR
New Jersey(12/28/2015)
RR
New Mexico(12/28/2015)
RR
New York(12/28/2015)
RR
North Carolina(12/28/2015)
RR
North Dakota(12/28/2015)
RR
Ohio(12/28/2015)
RR
Oklahoma(12/28/2015)
RR
Oregon(12/28/2015)
RR
Pennsylvania(12/28/2015)
RR
Puerto Rico(12/28/2015)
RR
Rhode Island(12/28/2015)
RR
South Carolina(12/28/2015)
RR
South Dakota(12/28/2015)
RR
Tennessee(12/28/2015)
RR
Texas(12/28/2015)
RR
Utah(12/28/2015)
RR
Vermont(12/28/2015)
RR
Virgin Islands(12/28/2015)
RR
Virginia(12/28/2015)
RR
Washington(12/28/2015)
RR
West Virginia(12/28/2015)
RR
Wisconsin(12/28/2015)
RR
Wyoming(12/28/2015)
Exams
State Security Law Exam
General 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
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
WF
WELLS FARGO SECURITIES, LLC
WACHOVIA CAPITAL MARKETS, LLC | WELLS FARGO SECURITIES, LLC | WELLS FARGO SECURITIES | WELLS FARGO CORPORATE AND/& INVESTMENT BANKING | WACHOVIA CORPORATE & INVESTMENT BANKING, LLC
CRD#: 126292 / SEC#: , 8-65876
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
550 South Tryon Street 6th Floor D1086-060, Charlotte, NC, 28202
Mailing Address
1 N Jefferson Ave H0004-063, St. Louis, MO 63103
Phone number
(314) 875-3286
Established
Delaware since 03/05/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
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
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.
