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Thomas Ley
42 Years of Experience
Palm Beach Gardens, FL
2 DisclosuresBroker
Thomas Ley is a registered investment advisor at Wells Fargo Advisors, based in Palm Beach Gardens, FL, with 42 years of industry experience. Their practice areas include Retirement Planning. Their firm serves 401,726 clients with $200B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3710 advisors
IM Fee
Planning only
Assets Under Management
$197.4B
Fee Structure
Investment management only (planning not offered)
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
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Location
3825 Pga Boulevard, Ste 601, Palm Beach Gardens, FL, 33410
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2006Denied
Customer Dispute
August 1996Award / Judgment
Other Business Activities
Thomas serves as a co-trustee for the UW Frances M Ley Testamentary Trust, managing money. He dedicates minimal time to this investment-related activity.
Employment History
Current Registrations
Wells Fargo Advisors
November 2024 - Present · 1 yr 6 mos
Wells Fargo Advisors Financial Network, LLCBroker
November 2024 - Present · 1 yr 6 mos
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
May 2012 - November 2024 · 12 yrs 6 mos
Wells Fargo Advisors
May 2012 - November 2024 · 12 yrs 6 mos
Morgan Stanley Smith BarneyBroker
June 2009 - June 2012 · 3 yrs
Morgan Stanley Smith Barney LLC
June 2009 - June 2012 · 3 yrs
Citigroup Global Markets INC.
November 2005 - June 2009 · 3 yrs 7 mos
Citigroup Global Markets INC.Broker
November 2005 - June 2009 · 3 yrs 7 mos
Morgan Stanley
July 2002 - November 2005 · 3 yrs 4 mos
Morgan Stanley Dw INC.Broker
January 2000 - November 2005 · 5 yrs 10 mos
Oppenheimer & CO., INC.Broker
August 1991 - April 1995 · 3 yrs 8 mos
Cibc World Markets CORP.Broker
August 1990 - January 2000 · 9 yrs 5 mos
Prudential-Bache Securities INC.Broker
April 1989 - August 1990 · 1 yr 4 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
May 1984 - April 1989 · 4 yrs 11 mos
Underhill Associates, IncorporatedBroker
April 1983 - April 1984 · 1 yr
State Registrations15 states
ALCACTDCFLGAINKSNCNHNJNYPASCTN
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.