Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2018 indicate that Kansas-based Wells Fargo Clearing Services broker/adviser Delores Kirkpatrick, also known as Dee Kirkpatrick, has been involved in customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Caldwell (CRD# 725305).
Delores Kirkpatrick has spent 36 years in the securities industry and has been registered with Wells Fargo Clearing Services in Topeka, Kansas since 1990. Previous registrations include Blunt Ellis & Loewi (1983-1990) and BC Christopher Securities (1981-1983). She has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on July 8, 1999; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on March 18, 1981; Series 3 (National Commodity Futures Examination), which she obtained on October 4, 1982; and Series 7 (General Securities Representative Examination), which she obtained on February 21, 1981. She is a registered broker and investment adviser with 22 US states and territories: Arkansas, California, Colorado, Florida, Georgia, Illinois, Iowa, Kansas, Kentucky, Maryland, Missouri, Nebraska, New Jersey, New Mexico, North Carolina, Oklahoma, Oregon, Pennsylvania, Tennessee, Texas, Washington, and Wisconsin. She is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to her BrokerCheck report, she has received two customer complaints and two denied customer complaints.