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Dennis John Mccormick

Wells Fargo Clearing Services, LLC

Hales Corner, WI

Milwaukee, WI

Mequon, WI

Milwaukee, WI

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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
WI RA APPROVED 2022-04-18
  • WI RA
    APPROVED
    Since 2022-04-18

Branch Locations

5620 S 108Th St, Hales Corner, WI 53130 • United States

131 W Layton Ave Ste 100, Milwaukee, WI 53207 • United States

11350 N Port Washington Rd, Mequon, WI 53092 • United States

111 East Kilbourn Avenue 23Rd Fl [Gt-Rbo], Milwaukee, WI 53202 • 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
Bmo Harris Bank Elm Grove WI 07/2015 05/2017
Bmo Harris Bank Elm Grove WI 05/2017 12/2021
Lpl Financial Llc Elm Grove WI 03/2021 12/2021
Wells Fargo Bank, Na Mequon WI 12/2021 Present
Wells Fargo Clearing Serives, Llc Mequon WI 01/2022 Present
  • 07/2015 → 05/2017
    Bmo Harris Bank
    Elm Grove, WI
  • 05/2017 → 12/2021
    Bmo Harris Bank
    Elm Grove, WI
  • 03/2021 → 12/2021
    Lpl Financial Llc
    Elm Grove, WI
  • 12/2021 → Present
    Wells Fargo Bank, Na
    Mequon, WI
  • 01/2022 → Present
    Wells Fargo Clearing Serives, Llc
    Mequon, WI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-04-18
S63 Uniform Securities Agent State Law Examination 2017-09-29
  • S66 Uniform Combined State Law Examination
    2022-04-18
  • S63 Uniform Securities Agent State Law Examination
    2017-09-29

View on SEC IAPD

Other Firms

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LPL FINANCIAL LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
SEQUENT PLANNING, LLC
OSAIC WEALTH, INC.
LPL ENTERPRISE, LLC
CETERA INVESTMENT ADVISERS LLC

Other Investors

JOHN ROBERT BRANDT
Marc Arlo Messinger
Nicholas Dean Johnson
Joseph Anthony Schilz
ANDREW P LESAR
Christopher David Collins
JOSHUA PETER RINGELBERG
Julia Herman

Other Offices

NATIONAL ACCOUNTING AND BUSINESS SOLUTIONS, SC · HALES CORNERS, WI
EDWARD JONES · HALES CORNERS, WI
LPL FINANCIAL LLC · HALES CORNERS, WI
STATE FARM INVESTMENT MANAGEMENT CORP. · Hales Corners, WI
SEQUENT PLANNING, LLC · Hales Corners, WI
OSAIC WEALTH, INC. · HALES CORNERS, WI
EDWARD JONES · HALES CORNERS, WI
LPL ENTERPRISE, LLC · HALES CORNERS, WI

More in Hales Corner, WI

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