Thomas Michael Cartin
Investment adviser representative at Wells Fargo Advisors
10 yearsExperience
2 statesRegistered in
$671.4BFirm assets
36 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
Experience
10 years in the industry.
- Wells Fargo Bank, NAApr 2024 to now
- Wells Fargo Clearing Services, LLCApr 2024 to now
- Pruco Securities LLC.Sep 2023 to Mar 2024
- The Prudential Insurance Company of AmericaSep 2023 to Mar 2024
- UnemployedJun 2023 to Sep 2023
- Truist Advisor Services, IncNov 2021 to Jun 2023
- Truist Investment Services, IncNov 2021 to Jun 2023
- Citizens BankJan 2016 to Nov 2021
- Citizens Securities, Inc.Jan 2016 to Nov 2021
Exams passed
- Series 63 · Uniform Securities Agent State Law2002
- Series 65 · Uniform Investment Adviser Law2019
State registrations
Registered as an investment adviser representative in 2 states (NJ, PA).
Wells Fargo Advisors
Legal name: Wells Fargo Clearing Services, LLC
$671.4BAssets managed
1,324,168Clients
14,661Advisers
36 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 4565652
- Firm CRD
- 19616