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Dennis David Braun

Wells Fargo Clearing Services, LLC

Lake Oswego, OR

Portland, OR

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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
OR RA APPROVED 2006-07-28
  • OR RA
    APPROVED
    Since 2006-07-28

Branch Locations

5400 Sw Meadows Rd Stes 200 & 250, Lake Oswego, OR 97035 • United States

1300 Sw 5Th Fl 18Th Fl, Portland, OR 97201 • 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 Portland OR 05/2009 11/2016
Wells Fargo Clearing Services, Llc Portland OR 11/2016 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-07-07
S63 Uniform Securities Agent State Law Examination 1987-05-01
  • S65 Uniform Investment Adviser Law Examination
    2006-07-07
  • S63 Uniform Securities Agent State Law Examination
    1987-05-01
Other Names
  • Dennis Braun

View on SEC IAPD

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