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L DENNIS BROKAW
LESLIE DENNIS BROKAW
CRD#: 31367
IA
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WELLS FARGO ADVISORSCRD#: 19616 12531 HIGH BLUFF DR STE 400
SAN DIEGO, CA 92130
SAN DIEGO, CA 92130
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12/18/1998
Customer Dispute
Award / Judgment
State Registrations
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Alabama 7/11/2024
B
Nevada 8/2/2022
B
Arizona 9/11/2017
B
New Jersey 9/8/2009
B
California 9/8/2009
B
Ohio 9/8/2009
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California 9/9/2009
B
Oregon 9/8/2009
B
Delaware 10/12/2018
B
Texas 9/8/2009
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Florida 5/19/2022
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Texas 10/14/2016
B
Hawaii 8/9/2022
B
Washington 1/9/2025
B
Michigan 9/8/2009
B
Wyoming 3/10/2025
B
Montana 1/27/2017
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 9/9/2009
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Registered with this firm since 9/8/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 09/09/2009 | SAN DIEGO, CA | |
B | 06/01/2009 - 09/09/2009 | SAN DIEGO, CA | |
IA | 04/02/2007 - 06/01/2009 | SAN DIEGO, CA | |
B | 04/02/2007 - 06/01/2009 | SAN DIEGO, CA | |
IA | 12/05/2000 - 04/02/2007 | SAN DIEGO, CA | |
B | 08/29/2000 - 04/02/2007 | SAN DIEGO, CA | |
B | 09/19/1995 - 08/29/2000 | ST. LOUIS, MO | |
B | 03/14/1984 - 09/22/1995 | SAN FRANCISCO, CA | |
B | 11/04/1981 - 03/27/1986 | ||
B | 09/16/1977 - 09/21/1981 | ||
B | 06/13/1977 - 09/16/1977 | ||
B | 01/17/1975 - 06/24/1977 | ||
B | 11/11/1971 - 02/11/1975 | ||
B | 05/01/1971 - 11/08/1971 |
06/13/1977 - 09/16/1977
01/17/1975 - 06/24/1977
11/11/1971 - 02/11/1975
05/01/1971 - 11/08/1971
For additional information about investment advisers or broker-dealers, please visit
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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.