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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

WESLEY A THOMPSON

Advisor at WELLS FARGO ADVISORS

CHARLOTTE, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:cfa96855-46ea-5abe-6558-1b1f9970e7be

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 0
On other graphs: 0
Observed: Sep 20, 2007 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: Sep 18, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 12
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Sep 18, 2007
First registration: Sep 20, 2007
Dual registered: yes, broker-dealer
Other names: WES THOMPSON|WESLEY AARON THOMPSON
IAPD individual key: 4964688

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	Jul 19, 2022	n/a	yes	CHARLOTTE, NC	Current employment
WELLS FARGO ADVISORS	Wirehouse	Feb 3, 2020	Jun 24, 2022	no	NAPLES, FL	Previous registration
INDEPENDENT FINANCIAL PARTNERS	Bd affiliated wealth	Sep 6, 2019	Nov 11, 2019	no	Bonita Springs, FL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 3, 2018	Jul 31, 2019	no	CHARLOTTE, NC	Previous registration
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Apr 11, 2018	Jun 15, 2018	no	CHARLOTTE, NC	Previous registration
ASPIRE PRIVATE CAPITAL	Independent wealth	Jun 20, 2017	Mar 1, 2018	no	CORNELIUS, NC	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Nov 6, 2012	Jun 1, 2017	no	NAPLES, FL\|FORT MYERS, FL	Previous registration
FSC SECURITIES CORPORATION	Former SEC adviser	Aug 16, 2010	Jun 8, 2012	no	BONITA SPRINGS, FL\|BONITA SPRINGS, FL	Previous registration
CICCARELLI ADVISORY SERVICES INC	Independent wealth	Jun 21, 2010	Oct 19, 2012	no	n/a	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Dec 2, 2008	Jan 7, 2010	no	NAPLES, FL\|NAPLES, FL	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Oct 31, 2008	Nov 5, 2008	no	NAPLES, FL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2008	Nov 3, 2008	no	NAPLES, FL	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Sep 20, 2007	Jan 1, 2008	no	NAPLES, FL\|ST. LOUIS, MO	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
WELLS FARGO ADVISORS	WELLS FARGO ADVISORS	Jun 24, 2022	Jul 19, 2022	25	Channel change	Wirehouse to wirehouse
INDEPENDENT FINANCIAL PARTNERS	WELLS FARGO ADVISORS	Nov 11, 2019	Feb 3, 2020	84	Firm change	Ibd to wirehouse
WELLS FARGO ADVISORS	INDEPENDENT FINANCIAL PARTNERS	Jul 31, 2019	Sep 6, 2019	37	Firm change	Wirehouse to ibd
PARK AVENUE SECURITIES LLC	WELLS FARGO ADVISORS	Jun 15, 2018	Jul 3, 2018	18	Firm change	Ibd to wirehouse
ASPIRE PRIVATE CAPITAL	PARK AVENUE SECURITIES LLC	Mar 1, 2018	Apr 11, 2018	41	Firm change	RIA to ibd
WELLS FARGO ADVISORS	ASPIRE PRIVATE CAPITAL	Jun 1, 2017	Jun 20, 2017	19	Firm change	Wirehouse to RIA
CICCARELLI ADVISORY SERVICES INC	FSC SECURITIES CORPORATION	Oct 19, 2012	Aug 16, 2010	-795	Firm change after gap	Other
FSC SECURITIES CORPORATION	WELLS FARGO ADVISORS	Jun 8, 2012	Nov 6, 2012	151	Firm change	Other
WELLS FARGO ADVISORS	CICCARELLI ADVISORY SERVICES INC	Jan 7, 2010	Jun 21, 2010	165	Firm change	Other
MORGAN STANLEY & CO. LLC	WELLS FARGO ADVISORS	Nov 5, 2008	Dec 2, 2008	27	Firm change	Other
WELLS FARGO ADVISORS	MORGAN STANLEY & CO. LLC	Nov 3, 2008	Oct 31, 2008	-3	Firm change	Other
A. G. EDWARDS & SONS, INC.	WELLS FARGO ADVISORS	Jan 1, 2008	Jan 1, 2008	0	Bulk transfer	Other

Relationships

Registered with (9)

→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 3, 2018 to Jul 31, 2019factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Feb 3, 2020 to Jun 24, 2022factForm ADV
→ INDEPENDENT FINANCIAL PARTNERSRegistered adviserregistration: previous registration
Sep 6, 2019 to Nov 11, 2019factForm ADV
→ PARK AVENUE SECURITIES LLCRegistered adviserregistration: previous registration
Apr 11, 2018 to Jun 15, 2018factForm ADV
→ ASPIRE PRIVATE CAPITALRegistered adviserregistration: previous registration
Jun 20, 2017 to Mar 1, 2018factForm ADV
→ CICCARELLI ADVISORY SERVICES INCRegistered adviserregistration: previous registration
Jun 21, 2010 to Oct 19, 2012factForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Aug 16, 2010 to Jun 8, 2012factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Oct 31, 2008 to Nov 5, 2008factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Sep 20, 2007 to Jan 1, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cfa96855-46ea-5abe-6558-1b1f9970e7be
First observed: Sep 20, 2007
Last observed: Sep 14, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

WESLEY A THOMPSON

Advisor at WELLS FARGO ADVISORS

CHARLOTTE, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:cfa96855-46ea-5abe-6558-1b1f9970e7be

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:04 PM UTC and rebuilt at most every 15 minutes.

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