Articles Tagged with Daniel Tompkins

Daniel TompkinsPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 5, 2018 indicate that Florida-based Wells Fargo Clearing Services broker/adviser Daniel Tompkins has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Tompkins (CRD# 2165219).

Daniel Tompkins has spent 25 years in the securities industry and has been registered with Wells Fargo Clearing Services in Boca Raton, Florida since 2009. Previous registrations include Citigroup Global Markets in Taramac, Florida (2007-2009); Citicorp Investment Services in Taramac, Florida (2002-2007); Quick & Reilly in New York, New York (2001-2002); Bear Stearns & Company in New York, New York (1006-2001); Painewebber in Weehawken, New Jersey (1994-1996); and Smith Barney Shearson in New York, New York (1991-1994). He has passed three securities industry examinations: Seres 65 (Uniform Investment Adviser Law Examination), which he obtained on January 28, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 20, 1991; and Series 7 (General Securities Representative Examination), which he obtained on September 3, 1991. He is a registered broker and investment adviser with 15 US states and territories: Alabama, Arizona, Arkansas, California, Colorado, Florida, Georgia, Illinois, Maryland, New Jersey, New York, North Carolina, Tennessee, Texas, and Utah. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one customer complaint, one denied customer complaint and one pending customer complaint.