Dennis PauwelsCRD Number: 1062029
Current Firm: Wells Fargo Clearing Services, LLC
Dennis Pauwels (CRD# 1062029) is an Investment Advisor Representative working at Wells Fargo Clearing Services, LLC in Fort Wayne, IN and has over 35 years of experience in the finance industry.
Creative Financial Designs, Inc.
Transamerica Financial Advisors, Inc.
Monarch Capital Management Inc.
|Wells Fargo Clearing Services, LLC||Fort Wayne, IN||Nov 2016 - Current||1|
|Wells Fargo Advisors LLC||Fort Wayne, IN||May 2009 - Nov 2016||7|
|Wachovia Securities, LLC||Fort Wayne, IN||Sep 2005 - May 2009||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Aug 1982|
|S65||NASAA Investment Advisors Law Examination||Nov 1994|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
- Customer Dispute
Total Assets Under Management409,716MILLIONS
Total Number of Accounts1,359,521ACCOUNTS
Average Account Value$301,368
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY