Dennis Charles Crispin

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	2015-10-27
CA	RA	APPROVED	2003-07-01

TX RA
APPROVED_RES

Since 2015-10-27
CA RA
APPROVED

Since 2003-07-01

Branch Locations

3059 Townsgate Rd 4Th Fl, Ste 400, Westlake Village, CA 91361 • 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Westlake Village	CA	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Westlake Village	CA	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Westlake Village, CA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Westlake Village, CA

Previous Registrations

1998-03-27 → 2003-07-01

Prudential Equity Group, Llc

Westlake Village, CA

Other Businesses

TRUSTEE FOR BROTHER'S TRUST, INV RELATED, THOUSAND OAKS, CA, START: 12/28/2022, 5 HOURS PER MONTH, 0 HOURS DURING TRADING.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1987-04-28

S63 Uniform Securities Agent State Law Examination

1987-04-28

Other Names

Dennis Crispin

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews