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Dennis Alex Kotoff

Wells Fargo Clearing Services, LLC

Seal Beach, CA

Long Beach, CA

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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
TX RA APPROVED_RES 2021-07-19
CA RA APPROVED 2003-07-01
  • TX RA
    APPROVED_RES
    Since 2021-07-19
  • CA RA
    APPROVED
    Since 2003-07-01

Branch Locations

3020 Old Ranch Pkwy Stes 190, 150 & 140, Seal Beach, CA 90740 • United States

Long Beach, CA • 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 Advisors Llc Seal Beach CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Seal Beach CA 11/2016 Present
Previous Registrations
  • 2000-03-10 → 2003-07-01
    Prudential Equity Group, Llc
    Long Beach, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-03-23
S63 Uniform Securities Agent State Law Examination 1990-11-13
  • S65 Uniform Investment Adviser Law Examination
    1995-03-23
  • S63 Uniform Securities Agent State Law Examination
    1990-11-13

View on SEC IAPD

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CHARLES SCHWAB & CO., INC. · Seal Beach, CA
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RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · SEAL BEACH, CA
UBS FINANCIAL SERVICES INC. · SEAL BEACH, CA
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