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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

THOMAS MICHAEL CARTIN

Advisor at WELLS FARGO ADVISORS

DOYLESTOWN, PA | ALLENTOWN, PA

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Search this name across graphsid dfx:ria:002544c9-035b-db8c-cf2c-98a3b887d372

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jan 31, 2019 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 5, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Sep 5, 2002
First registration: Jan 31, 2019
Dual registered: yes, broker-dealer
Other names: THOMAS MICHAEL CARTIN|THOMAS CARTIN
IAPD individual key: 4565652

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	May 8, 2024	n/a	yes	ALLENTOWN, PA\|DOYLESTOWN, PA	Current employment
PRUCO SECURITIES, LLC	No RAUM reported	Sep 25, 2023	Mar 27, 2024	no	Warrington, PA	Previous registration
TRUIST ADVISORY SERVICES, INC.	Bd affiliated wealth	Nov 19, 2021	Jul 14, 2023	no	HATBORO, PA\|WARMINSTER, PA	Previous registration
CITIZENS SECURITIES, INC.	Bd affiliated wealth	Jan 31, 2019	Nov 17, 2021	no	PLYMOUTH MEETING, PA\|NEWTOWN, PA\|MARLTON, NJ\|CONSHOHOCKEN, PA\|DOYLESTOWN, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PRUCO SECURITIES, LLC	WELLS FARGO ADVISORS	Mar 27, 2024	May 8, 2024	42	Firm change	Ibd to wirehouse
TRUIST ADVISORY SERVICES, INC.	PRUCO SECURITIES, LLC	Jul 14, 2023	Sep 25, 2023	73	Firm change	Ibd to ibd
CITIZENS SECURITIES, INC.	TRUIST ADVISORY SERVICES, INC.	Nov 17, 2021	Nov 19, 2021	2	Firm change	Ibd to ibd

Relationships

Registered with (4)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
May 8, 2024 to presentfactForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Sep 25, 2023 to Mar 27, 2024factForm ADV
→ TRUIST ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Nov 19, 2021 to Jul 14, 2023factForm ADV
→ CITIZENS SECURITIES, INC.Registered adviserregistration: previous registration
Jan 31, 2019 to Nov 17, 2021factForm ADV

Dated events

Occurred
Mar 27, 2024
Advisor changed firm
Thomas Michael Cartin left Pruco Securities, Llc for Wells Fargo Advisors (registered 2024-05-08)
Form ADVobserved 5 days ago
Occurred
Jul 14, 2023
Advisor changed firm
Thomas Michael Cartin left Truist Advisory Services, Inc. for Pruco Securities, Llc (registered 2023-09-25)
Form ADVobserved 5 days ago