Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dennis? Claim Your ProfileDennis Crispin is a financial advisor with over 30 years of experience in the industry. Dennis is currently registered with Wells Fargo Clearing Services, LLC and has been with the firm since November 2016. Prior to joining Wells Fargo Clearing Services, LLC, Dennis worked at several other firms including Prudential Securities Incorporated, Smith Barney Inc., Lehman Brothers Inc., and E. F. Hutton & Company Inc. Dennis holds the Series 3, Series 7, Series 24 and Series 63 licenses.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
10/27/2015 - Present
Wells Fargo Clearing Services, LLC (WESTLAKE VILLAGE CA)
NY
02/20/1996 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 02/29/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
04/11/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
04/29/1987 - 04/11/1988
E. F. HUTTON & COMPANY INC
BC
Issued 04/28/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/22/2015
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/04/1987
Series 3 - National Commodity Futures Examination
BC
Issued 04/25/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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