DENNIS MICHAEL SERIO

DENNIS MICHAEL SERIO is currently employed as a Broker and/or Investment Adviser at WELLS FARGO SECURITIES, LLC located at 1445 ROSS AVE, DALLAS, TX, 75202.

DENNIS MICHAEL SERIO has worked at WELLS FARGO SECURITIES, LLC since November 06, 2009

Disclosure History

DENNIS MICHAEL SERIO has 1 Disclosure Event(s).

Date: December 11, 2008
Category: Financial
Type: Bankruptcy
Disposition: Discharged

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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