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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

THOMAS PATRICK GILLESPIE

Advisor at NWF ADVISORY SERVICES INC

Long Beach, CA

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Search this name across graphsid dfx:ria:8864668d-3eee-54aa-d666-c9131080687a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 28, 2002 to Sep 14, 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: NWF ADVISORY SERVICES INC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 26, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Apr 26, 1990
First registration: May 28, 2002
Dual registered: yes, broker-dealer
Other names: THOMAS P GILLESPIE
IAPD individual key: 822611

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
NWF ADVISORY SERVICES INC	Independent wealth	Oct 12, 2023	n/a	yes	Long Beach, CA	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 7, 2011	Sep 13, 2023	no	LONG BEACH, CA\|Newport Beach, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Apr 2, 2004	Oct 10, 2011	no	SEAL BEACH, CA\|SEAL BEACH, CA	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	May 28, 2002	Apr 29, 2004	no	LONG BEACH, CA	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
AMERIPRISE FINANCIAL SERVICES, LLC	NWF ADVISORY SERVICES INC	Sep 13, 2023	Oct 12, 2023	29	Firm change	Ibd to RIA
WELLS FARGO ADVISORS	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 10, 2011	Oct 7, 2011	-3	Firm change	Wirehouse to ibd
RBC CAPITAL MARKETS, LLC	WELLS FARGO ADVISORS	Apr 29, 2004	Apr 2, 2004	-27	Firm change	Ibd to wirehouse

Relationships

Registered with (4)

→ NWF ADVISORY SERVICES INCRegistered adviserregistration: current employment
Oct 12, 2023 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 7, 2011 to Sep 13, 2023factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Apr 2, 2004 to Oct 10, 2011factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
May 28, 2002 to Apr 29, 2004factForm ADV

Dated events

Occurred
Sep 13, 2023
Advisor changed firm
Thomas Patrick Gillespie left Ameriprise Financial Services, Llc for Nwf Advisory Services Inc (registered 2023-10-12)
Form ADVobserved 5 days ago