Individual Firm
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DENNIS CHARLES CRISPIN
DENNIS CRISPIN
CRD#: 1639245
IA
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WELLS FARGO ADVISORSCRD#: 19616 3059 TOWNSGATE RD
4TH FL, STE 400
WESTLAKE VILLAGE, CA 91361
4TH FL, STE 400
WESTLAKE VILLAGE, CA 91361
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1/14/1989
Criminal
Final Disposition
State Registrations
B
Arizona 7/1/2003
B
Nevada 7/1/2003
B
California 7/1/2003
B
New York 4/19/2016
IA
California 7/1/2003
B
North Carolina 11/17/2005
B
Colorado 8/23/2010
B
Oklahoma 11/18/2021
B
Connecticut 5/4/2021
B
Oregon 1/9/2023
B
Georgia 6/26/2024
B
Pennsylvania 2/17/2016
B
Hawaii 11/19/2021
B
Tennessee 11/16/2021
B
Illinois 10/31/2016
IA
Texas 10/27/2015
B
Indiana 10/31/2016
B
Texas 10/29/2015
B
Iowa 11/15/2018
B
Washington 6/29/2005
B
Massachusetts 11/16/2009
B
Wyoming 11/19/2013
B
Minnesota 10/28/2021
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 7/1/2003
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Registered with this firm since 7/1/2003
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/27/1998 - 07/01/2003 | WESTLAKE VILLAGE, CA | |
B | 02/20/1996 - 07/01/2003 | NEW YORK, NY | |
B | 07/31/1993 - 02/29/1996 | NEW YORK, NY | |
B | 04/11/1988 - 07/31/1993 | NEW YORK, NY | |
B | 04/29/1987 - 04/11/1988 |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.