Dean Mitchell Thompson

Current Employers

Wells Fargo Clearing Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2015-12-08
CA	RA	APPROVED	2011-04-01

TX RA
APPROVED_RES

Since 2015-12-08
CA RA
APPROVED

Since 2011-04-01

Branch Locations

4767 Hopyard Rd, Pleasanton, CA 94588 • United States

2033 N Main Street 9Th Floor [Nk/Nl-Rbo], Walnut Creek, CA 94596 • United States

Los Gatos, CA • United States

San Jose, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Pleasanton	CA	03/2011	11/2016
Wells Fargo Clearing Services, Llc	Pleasanton	CA	11/2016	Present

03/2011 → 11/2016

Wells Fargo Advisors Llc

Pleasanton, CA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Pleasanton, CA

Previous Registrations

2009-07-14 → 2011-03-31

Bancwest Investment Services, Inc.

Concord, CA

Lafayette, CA

Pinole, CA

Walnut Creek, CA

Orinda, CA

Crockett, CA

Danville, CA

Walnut Creek, CA
2002-02-13 → 2005-01-10

Banc Of America Investment Services, Inc.

Walnut Creek, CA
2001-05-15 → 2003-02-13

Wells Fargo Investments, Llc

San Francisco, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-03-08
S63	Uniform Securities Agent State Law Examination	1995-06-07

S65 Uniform Investment Adviser Law Examination

1999-03-08
S63 Uniform Securities Agent State Law Examination

1995-06-07