Travis Tom: Why Was Endeavor Advisor Fired by Wells Fargo?

Littleton, Colorado financial advisor Travis Tom (CRD# 4762216) was recently discharged from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Wells Fargo broker is currently registered as an investment advisor with Endeavor Private Wealth.

Mr. Tom’s BrokerCheck report discloses his termination from Wells Fargo. Filed in March 2026, the disclosure states that the firm fired him “after a review of concerns involving unauthorized trades in a client account and failing to escalate to the Firm a related verbal client complaint.”

A second disclosure on his BrokerCheck report concerns an investor complaint against him. Filed in December 2025, it alleged that as a representative of Wells Fargo, he made unauthorized purchases of securities. The complaint reached a settlement of $10,826.41.

Various FINRA rules prohibit brokers like Mr. Tom from trading in customer accounts without authorization. FINRA Rule 3260, for instance, outlines specific conditions under which brokers can execute discretionary trades; it also forbids discretionary trading without a customer’s prior written authorization and a firm’s written approval. FINRA Rule 2010, meanwhile, stipulates that FINRA-associated persons must “observe high standards of commercial honor and just and equitable principles of trade,” which generally means that they may not make unauthorized trades. Brokers who violate these rules may be held liable for damages.

According to the Financial Industry Regulatory Authority and the Securities and Exchange Commission, Travis Tom holds 15 years of securities industry experience. Based in Littleton, Colorado, he has been registered as an investment advisor with Endeavor Private Wealth since May 2026. His past registrations include Wells Fargo Advisors, Wells Fargo Investments, and National Planning Corporation. His credentials include the passage of four securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Combined State Law Examination, or Series 66; the General Securities Representative Examination, or Series 7; and the Investment Company Products/Variable Contracts Representative Examination, or Series 6. He is licensed in Colorado. (Information current as of May 18, 2026.)

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