Thomas Le
Investment adviser representative at Wells Fargo Advisors
17 yearsExperience
1 stateRegistered 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
17 years in the industry.
- Wells Fargo Clearing Services, LLCJun 2025 to now
- Wells Fargo Bank, NAJun 2025 to now
- Bank of America, N.A.Jul 2024 to Jun 2025
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 2022 to Aug 2024
- J.P. Morgan Securities LLCOct 2012 to Jun 2022
- JPMorgan Chase BankJun 2009 to Jun 2022
Exams passed
- Series 63 · Uniform Securities Agent State Law2014
- Series 65 · Uniform Investment Adviser Law2025
State registrations
Registered as an investment adviser representative in 1 state (TX).
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
- 5682364
- Firm CRD
- 19616