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Dennis Carl Fox

Wells Fargo Advisors Financial Network, LLC

Westlake Village, CA

CRD 4758313

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Employer firm

Wells Fargo Advisors Financial Network, LLC CRD 11025

$252B regulatory AUM 2,990 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

Current Employers
Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-04-05
CA RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2021-04-05
  • CA RA
    APPROVED
    Since 2012-10-01

Branch Locations

200 N Westlake Blvd Ste 202, Westlake Village, CA 91362 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Financial Network, Llc Westlake Village CA 09/2012 Present
Previous Registrations
  • 2009-10-23 → 2012-10-02
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Simi Valley, CA
    Simi Valley, CA
    Westlake Village, CA
    Simi Valley, CA
    Westlake Village, CA
  • 2005-03-08 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Simi Valley, CA
    Simi Valley, CA
    Simi Valley, CA
    Westlake Village, CA
    Westlake Village, CA
  • 2004-08-12 → 2005-02-15
    Morgan Stanley Dw Inc.
    Thousand Oak, CA
Other Businesses

ARCHER STRATEGIES, INC, INV RELATED, WESTLAKE VILLAGE, CA, 100% OWNERSHIP, START 9/1/2012, 10 HRS PER MONTH, 1 HR DURING TRADING, FINET PRACTICE.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-07-02
  • S66 Uniform Combined State Law Examination
    2004-07-02
Other Names
  • Dennis Fox
  • Dennis Carl Fox
  • Dennis C Fox
  • Dennis Carl Fox

View on SEC IAPD

Nearby Firms

MANCHESTER FINANCIAL INC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
EAGLE STRATEGIES LLC

Nearby Investors

Seth Christian Catanese
FRANKLIN SCHENECK WHITEHOUSE
LAURA JO Navarro

Nearby Offices

MANCHESTER FINANCIAL INC · WESTLAKE VILLAGE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WESTLAKE VILLAGE, CA
EAGLE STRATEGIES LLC · WESTLAKE VILLAGE, CA

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