Dennis E. Golem
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dennis Edward Golem was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1984. Dennis had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 52, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 2007 - April 18, 2018
WELLS FARGO SECURITIES, LLC
May 8, 2007 - November 26, 2007
A. G. EDWARDS & SONS, INC.
February 22, 1996 - March 30, 2007
NATCITY INVESTMENTS, INC.
August 23, 1991 - July 25, 1995
KEYBANC CAPITAL MARKETS INC.
September 4, 1990 - July 15, 1991
WELLS FARGO CLEARING SERVICES, LLC
January 28, 1987 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
May 23, 1986 - January 19, 1987
KEYBANC CAPITAL MARKETS INC.
April 3, 1984 - June 5, 1984
EHRLICH-BOBER & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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