Dennis Varn Coleman

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

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	2012-04-17
IL	RA	APPROVED	2012-04-04
SC	RA	APPROVED	2012-04-04

TX RA
APPROVED_RES

Since 2012-04-17
IL RA
APPROVED

Since 2012-04-04
SC RA
APPROVED

Since 2012-04-04

Branch Locations

320 Broad St, Charleston, SC 29401 • 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	Charleston	SC	04/2012	11/2016
Wells Fargo Clearing Services, Llc	Charleston	SC	11/2016	Present

04/2012 → 11/2016

Wells Fargo Advisors Llc

Charleston, SC
11/2016 → Present

Wells Fargo Clearing Services, Llc

Charleston, SC

Previous Registrations

2001-06-06 → 2012-04-12

Ubs Financial Services Inc.

Charleston, SC

Charleston, SC

Other Businesses

RENTAL PROPERTY; INV RELATED; ALTLANTA, GA; 50% OWNERSHIP; START DATE 10/1/2024; 1 HOUR PER MONTH; 0 DURING TRADING; CO-OWNER OF RENTAL PROPERTY.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1996-11-22
S65	Uniform Investment Adviser Law Examination	1996-11-22

S63 Uniform Securities Agent State Law Examination

1996-11-22
S65 Uniform Investment Adviser Law Examination

1996-11-22

View on SEC IAPD