Charles Ingram Dennis

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2022-02-04
FL	RA	APPROVED	2021-06-07
NH	RA	APPROVED	2011-02-11

TX RA
APPROVED_RES

Since 2022-02-04
FL RA
APPROVED

Since 2021-06-07
NH RA
APPROVED

Since 2011-02-11

Branch Locations

Vero Beach, FL • United States

45 Lyme Rd Ste 303 [Satellite], Hanover, NH 03755 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Financial Network Llc	Lebanon	NH	02/2011	Present

02/2011 → Present

Wells Fargo Advisors Financial Network Llc

Lebanon, NH

Previous Registrations

2009-06-01 → 2011-02-17

Morgan Stanley

Hanover, NH
2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Lebanon, NH
1994-12-07 → 2007-04-02

Morgan Stanley Dw Inc.

West Lebanon, NH

West Lebanon, NH

Other Businesses

TRUSTEE FOR PARENTS, INVESTMENT REALTED, OLD LYME CT, 2 HOURS PER MONTH, START DATE 10/04/2012 TANZI'S HEAT AND TANZI'S ICE - NOT INVESTMENT RELATED. HANOVER, NH. FICTION AUTHOR. START: 1/1/2013. 10 HRS PER MO / 0 DURING TRADING. DUTIES: WRITE AND COLLECT ROYALTY PAYMENTS. POWER OF ATTORNEY FOR MOTHER; INV. RELATED; HANOVER, NH; START DATE 5/2015; 10 HRS PER MONTH; 0 HRS DURING TRADING.; TRUTEE FOR FATHER'S TRUST, INV RELATED, HANOVER, NH, START: 8/20/2019, 4 HRS/MONTH, 2 HRS DURING TRADING. UPPER VALLEY WEALTH MANAGEMENT, LLC, INVT RELATED, HANOVER, NH, 50% OWNERSHIP, START DATE 2/1/2021, 200 HRS PER MONTH, 8 HRS DURING TRADING, FINET PRACTICE. VACATION RENTAL PROPERTY; INV RELATED; VERO BEACH,FL; VACATION HOME;100% OWNERSHIP; START DATE: 01/09/2020; 1 HRS PER MONTH; 0 HRS DURING TRADING;

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-08-24
S63	Uniform Securities Agent State Law Examination	1991-04-09

S65 Uniform Investment Adviser Law Examination

1995-08-24
S63 Uniform Securities Agent State Law Examination

1991-04-09

Other Names

Casey Dennis

View on SEC IAPD