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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

TOMMY RAY SCHUMAKER

Advisor at WELLS FARGO ADVISORS

MERCER ISLAND, WA

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Search this name across graphsid dfx:ria:ca49fdc7-00b6-c1ef-9e10-53d75f980640

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Feb 28, 2000 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: 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: Nov 4, 1983earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Nov 4, 1983
First registration: Feb 28, 2000
Dual registered: yes, broker-dealer
Other names: Tom Ray Schumaker|TOMMY RAY SCHUMAKER|TOMMY SCHUMAKER
IAPD individual key: 1196823

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	Nov 10, 2023	n/a	yes	MERCER ISLAND, WA	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 1, 2020	Nov 16, 2023	no	SAN DIEGO, CA\|ISSAQUAH, WA\|ISSAQUAH, WA\|TUBAC, AZ	Previous registration
EK RILEY INVESTMENTS, LLC	Former SEC adviser	Feb 12, 2008	Nov 6, 2020	no	ISSAQUAH, WA\|Issaquah, WA\|Seattle, WA\|SEATTLE, WA\|SEATTLE, WA	Previous registration
EK RILEY ADVISORS, LLC	n/a	Aug 29, 2005	Dec 31, 2007	no	ISSAQUAH, WA	Previous registration
FIRST ALLIED SECURITIES, INC.	Former SEC adviser	May 17, 2004	Jun 14, 2005	no	ISSAQUAH, WA	Previous registration
RAGEN MACKENZIE INVESTMENT SERVICES, LLC	n/a	Feb 28, 2000	May 17, 2004	no	ISSAQUAH, WA	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
LPL FINANCIAL LLC	WELLS FARGO ADVISORS	Nov 16, 2023	Nov 10, 2023	-6	Firm change	Ibd to wirehouse
EK RILEY INVESTMENTS, LLC	LPL FINANCIAL LLC	Nov 6, 2020	Oct 1, 2020	-36	Bulk transfer	RIA to ibd
EK RILEY ADVISORS, LLC	EK RILEY INVESTMENTS, LLC	Dec 31, 2007	Feb 12, 2008	43	Firm change	Other
FIRST ALLIED SECURITIES, INC.	EK RILEY ADVISORS, LLC	Jun 14, 2005	Aug 29, 2005	76	Firm change	Other
RAGEN MACKENZIE INVESTMENT SERVICES, LLC	FIRST ALLIED SECURITIES, INC.	May 17, 2004	May 17, 2004	0	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6413:11025:AZ:2023-11-16	Nov 16, 2023	Nov 10, 2023	TUBAC, AZ	Firm change

Relationships

Registered with (6)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Nov 10, 2023 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 1, 2020 to Nov 16, 2023factForm ADV
→ EK RILEY INVESTMENTS, LLCRegistered adviserregistration: previous registration
Feb 12, 2008 to Nov 6, 2020factForm ADV
→ EK RILEY ADVISORS, LLCRegistered adviserregistration: previous registration
Aug 29, 2005 to Dec 31, 2007factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserregistration: previous registration
May 17, 2004 to Jun 14, 2005factForm ADV
→ RAGEN MACKENZIE INVESTMENT SERVICES, LLCRegistered adviserregistration: previous registration
Feb 28, 2000 to May 17, 2004factForm ADV

Dated events

Occurred
Nov 16, 2023
Advisor changed firm
Tommy Ray Schumaker left Lpl Financial Llc for Wells Fargo Advisors (registered 2023-11-10)
Form ADVobserved 5 days ago