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Dean Mitchell Thompson

Wells Fargo Clearing Services, LLC

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About Dean Mitchell Thompson

Dean Mitchell Thompson is a financial advisor with over 27 years of experience in the financial services industry. Dean currently works for Wells Fargo Clearing Services, LLC, where Dean holds Series 6, 7, 22, 24, 53, and 63 licenses, as well as the SIE. Dean is also registered to provide investment advice in Arizona, California, Illinois, Maryland, Mississippi, Nevada, New Mexico, North Carolina, Texas, Virginia, and Washington. Dean specializes in providing financial planning, portfolio management, and investment consulting services to individual and institutional clients. Dean has previously worked for BANCWEST INVESTMENT SERVICES, INC., PLANCO FINANCIAL SERVICES, LLC, BANC OF AMERICA INVESTMENT SERVICES, INC., WELLS FARGO INVESTMENTS, LLC, and WELLS FARGO SECURITIES INC.

Firm Information

Dean Thompson is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Dean Thompson’s Registration & Firm History

CA

12/08/2015 - Present

Wells Fargo Clearing Services, LLC (PLEASANTON CA)

CA

02/26/2009 - 03/31/2011

BANCWEST INVESTMENT SERVICES, INC. (CONCORD CA)

CT

01/14/2005 - 12/15/2008

PLANCO FINANCIAL SERVICES, LLC (HARTFORD CT)

MA

02/11/2003 - 01/10/2005

BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)

CA

05/02/2001 - 02/13/2003

WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)

CA

04/05/1995 - 05/02/2001

WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)

CA

07/29/1991 - 08/20/1991

WESTMARK SECURITIES CORPORATION (SANTA MONICA CA)

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Licenses & Designations

IA

Issued 03/08/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/07/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/28/1997

Series 53 - Municipal Securities Principal Examination

BC

Issued 02/10/1997

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/30/1996

Series 7 - General Securities Representative Examination

BC

Issued 04/04/1995

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 07/25/1991

Series 22 - Direct Participation Programs Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are 4 public disclosures for Dean Mitchell Thompson. Review regulatory record here.
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