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Thomas Riordan
25 Years of Experience
Pearl River, NY
3 DisclosuresBroker
Thomas Riordan is a registered investment advisor at Wells Fargo Advisors, based in Pearl River, NY, with 25 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
1 Blue Hill Plaza - 11th Floor, [Satellite], Pearl River, NY, 10965
Get directionsHistory
Regulatory History (3)
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Customer Dispute
September 2018Denied
Customer Dispute
September 2009Denied
Customer Dispute
April 2005Denied
Employment History
Current Registrations
Wells Fargo Advisors
June 2023 - Present · 3 yrs 3 mos
Wells Fargo Advisors Financial Network, LLCBroker
June 2023 - Present · 3 yrs 3 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
January 2010 - June 2023 · 13 yrs 5 mos
Wells Fargo Clearing Services, LLCBroker
January 2010 - June 2023 · 13 yrs 5 mos
Chase Investment Services CORP.
May 2009 - February 2010 · 9 mos
Chase Investment Services CORP.Broker
May 2009 - February 2010 · 9 mos
Wamu Investments, INC.Broker
May 2002 - May 2009 · 7 yrs
Dime Securities, INC.Broker
June 2001 - May 2002 · 11 mos
American Express Financial Advisors INC.Broker
April 1999 - March 2000 · 11 mos
Ids Life Insurance CompanyBroker
April 1999 - March 2000 · 11 mos
J.W. Barclay & CO., INC.Broker
February 1999 - March 1999 · 1 mo
State Registrations16 states
CACTDEFLILMAMOMSNCNJNYPASCTXUTVA
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.