Fayette Thomas
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.
Fayette Thomas III, who also goes by Fayette Thomas, Tom Thomas III, Tom Thomas, Tommy Thomas III, Tommy Thomas, was a registered financial professional .
Fayette is a previously registered financial professional and started their career in finance in 1970. Fayette had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 1, Series 8, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2002 - January 7, 2016
WELLS FARGO CLEARING SERVICES, LLC
August 1, 1997 - January 7, 2016
WELLS FARGO CLEARING SERVICES, LLC
November 2, 1992 - August 1, 1997
DAIN RAUSCHER INCORPORATED
March 2, 1992 - November 5, 1992
PRUDENTIAL EQUITY GROUP, LLC
December 13, 1990 - March 5, 1992
UBS FINANCIAL SERVICES INC.
August 3, 1989 - December 21, 1990
LEHMAN BROTHERS INC.
July 24, 1986 - August 14, 1989
MORGAN STANLEY DW INC.
March 5, 1984 - August 4, 1986
ROONEY, PACE INC.
April 2, 1982 - March 2, 1984
J. DAVID SECURITIES, INC.
June 5, 1980 - October 29, 1981
JEFFERIES EXECUTION SERVICES, INC.
November 14, 1972 - February 14, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
April 15, 1970 - November 14, 1972
EASTMAN DILLON, UNION SECURITIES & CO., 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
Series 1
Date: 3/17/1961
Registered Representative ExaminationSeries 8
Date: 1/26/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 4/13/1970
Registered Principal ExaminationCurrent 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.
