Thomas P. Gillespie

NWF ADVISORY SERVICES | Financial Advisor

Long Beach, CA 90815

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CRD#: 822611

Professional summary

Thomas Patrick Gillespie, who also goes by Thomas P Gillespie, is a registered financial advisor currently at NWF ADVISORY SERVICES INC located in Long Beach, California and OSAIC WEALTH, INC. located in La Mirada, California.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Thomas has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 5 and Series 7 exams.

Question & Answer

What are your service offerings?

Wealth Preservation Strategies

Estate Planning Strategies

Charitable Giving

Are you a "fiduciary"?

Yes

Aliases

Thomas P Gillespie

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.

1. BOARD OF DIRECTORS SONOMA STATE POSITION: board member NATURE: corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2005 ADDRESS: 1801 e cotati ave, rohnert park CA 94928 DESCRIPTION: review financial statements and MM recommendations 2. NWF ADVISORY SERVICES POSITION: Investment Advisory Representative NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 120 START DATE: 10/10/2023 ADDRESS: 11835 W Olympic Blvd., Suite 1155 East Tower, Los Angeles CA 90064 DESCRIPTION: Client Portfolio oversight. Suggest portfolio adjustments to clients. 3. ARTISAN CAPITAL PARTNERS DBA POSITION: Financial Professional NATURE: Artisan Capital Partners is a DBA under/powered by NWF Advisory Group LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 07/24/2025 ADDRESS: 14752 Beach Blvd, Suite 133, La Mirada CA 90638 DESCRIPTION: I am a financial professional marketing myself under the DBA Artisan Capital Partners

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Patrick Gillespie's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 12, 2023 - Present

NWF ADVISORY SERVICES INC

Office #1: 5001 Airport Plaza Dr. #220, Long Beach, CA 90815

RIA

CRD#: 110410

Long Beach, CA

Current

October 3, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 14752 Beach Blvd Suite 133, La Mirada, CA 90638Office #2: 5001 Airport Plaza Dr #220, Long Beach, CA 90815

RIA

CRD#: 23131

LA MIRADA, CA

Past

October 7, 2011 - September 13, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

IRVINE, CA

Past

October 7, 2011 - September 13, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

IRVINE, CA

Past

April 2, 2004 - October 10, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SEAL BEACH, CA

Past

April 2, 2004 - October 10, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SEAL BEACH, CA

Past

May 28, 2002 - April 29, 2004

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

LONG BEACH, CA

Past

March 9, 2002 - April 29, 2004

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

November 4, 1998 - March 9, 2002

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

Past

August 31, 1994 - October 27, 1998

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

June 14, 1991 - September 8, 1994

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

October 15, 1987 - June 4, 1991

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

April 29, 1986 - November 27, 1987

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

March 12, 1981 - January 29, 1986

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CRD#: 76

Past

January 31, 1980 - April 11, 1981

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

December 13, 1977 - January 31, 1980

BLYTH EASTMAN DILLON & CO. INCORPORATED

CRD#: 6361

Past

May 20, 1976 - March 9, 1978

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NWF ADVISORY SERVICES INC

AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC

CRD#: 110410 / SEC#: 801-55681

RIA

Registered Investment Advisory firm - (6/30/1998 Approved)

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.

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

California
(10/3/2023)

IAR

California
(10/12/2023)

Colorado
(10/3/2023)

Idaho
(10/3/2023)

Minnesota
(10/3/2023)

Nevada
(10/11/2023)

Oklahoma
(11/21/2024)

Texas
(10/3/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/13/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/26/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 10/9/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 5/15/1976

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NWF ADVISORY SERVICES INC

AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC

CRD#: 110410 / SEC#: 801-55681

RIA

Registered Investment Advisory firm - (6/30/1998 Approved)

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Contact information

Main Address

11835 W Olympic Blvd Ste 1155 E., Los Angeles, CA 90064

Mailing Address

Phone number

(310) 475-5854

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NWF ADV PART 2 A 2024 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	11,979
AUM (Assets Under Management)	$ 3,824,876,751

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas P. Gillespie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Patrick Gillespie's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

SUTRO & CO. INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

DREXEL BURNHAM LAMBERT INCORPORATED

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

UBS FINANCIAL SERVICES INC.

BLYTH EASTMAN DILLON & CO. INCORPORATED

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

Primary Firm SEC Registration

NWF ADVISORY SERVICES INC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/13/1999

Series 63

Date: 4/26/1990

SIE

Date: 10/1/2018

Series 5

Date: 10/9/1981

Series 7

Date: 5/15/1976

FINRA

Current Firm

NWF ADVISORY SERVICES INC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NWF ADVISORY SERVICES INC

TRUST BUT VERIFY

Contact information

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