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Dennis Cody

Wells Fargo Clearing Services, LLC

Raleigh, NC

Raleigh, NC

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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
NC RA APPROVED 2025-07-24
TX RA APPROVED 2025-07-24
MO RA APPROVED 2023-11-03
  • NC RA
    APPROVED
    Since 2025-07-24
  • TX RA
    APPROVED
    Since 2025-07-24
  • MO RA
    APPROVED
    Since 2023-11-03

Branch Locations

3105 Glenwood Ave Stes 201 & 302, Raleigh, NC 27612 • United States

4220 Lassiter Mill Rd, Raleigh, NC 27609 • 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
United States Navy Norfolk VA 01/2017 01/2023
Unemployed O'fAllon MO 10/2016 01/2017
Nabisco St. Louis MO 06/2016 10/2016
Charles Schwab Co., Inc. Saint Louis MO 01/2023 10/2023
Wells Fargo Clearing Services St Louis MO 10/2023 Present
  • 01/2017 → 01/2023
    United States Navy
    Norfolk, VA
  • 10/2016 → 01/2017
    Unemployed
    O'fAllon, MO
  • 06/2016 → 10/2016
    Nabisco
    St. Louis, MO
  • 01/2023 → 10/2023
    Charles Schwab Co., Inc.
    Saint Louis, MO
  • 10/2023 → Present
    Wells Fargo Clearing Services
    St Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-11-03
S63 Uniform Securities Agent State Law Examination 2023-05-22
  • S66 Uniform Combined State Law Examination
    2023-11-03
  • S63 Uniform Securities Agent State Law Examination
    2023-05-22
Other Names
  • Denny Cody

View on SEC IAPD

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CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
SCHRUM PRIVATE WEALTH MANAGEMENT, LLC

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JAMES MICHAEL TARKENTON
CALEB ROBERT GRIFFITH
William Dean Cotton
Earl Scott Butcher
DAVID JEFFREY HERMAN
JAY DAVID MCKINNEY
BRANDON ALAN WALLS

Other Offices

TOWNSEND ASSET MANAGEMENT CORP. · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
OLDE RALEIGH FINANCIAL GROUP · RALEIGH, NC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · RALEIGH, NC
ADVISORY SERVICES NETWORK · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
WELLS FARGO CLEARING SERVICES, LLC · RALEIGH, NC
EDWARD JONES · RALEIGH, NC

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