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Colin Michael Dempsey

Wells Fargo Clearing Services, LLC

Point Pleasant Boro, NJ

Oakhurst, NJ

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2015-03-06
  • NJ RA
    APPROVED
    Since 2015-03-06

Branch Locations

3223 Bridge Avenue, Point Pleasant Boro, NJ 08742 • United States

1600 Highway 35 And Deal Rd [J6/J9-Rbo], Oakhurst, NJ 07755 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Bank, Na Moorestown NJ 02/2015 Present
Wells Fargo Advisors, Llc Moorestown NJ 02/2015 11/2016
Wells Fargo Clearing Services, Llc Moorestown NJ 11/2016 Present
  • 02/2015 → Present
    Wells Fargo Bank, Na
    Moorestown, NJ
  • 02/2015 → 11/2016
    Wells Fargo Advisors, Llc
    Moorestown, NJ
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Moorestown, NJ
Previous Registrations
  • 2009-06-01 → 2015-02-27
    Morgan Stanley
    Red Bank, NJ
    Sea Girt, NJ
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Red Bank, NJ
  • 2002-09-19 → 2007-04-02
    Morgan Stanley Dw Inc.
    Red Bank, NJ
    Red Bank, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-09-17
  • S66 Uniform Combined State Law Examination
    2002-09-17

View on SEC IAPD

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