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Details

WELLS FARGO SECURITIES LLC NFA ID: 0336875

Current Status
• EXEMPT FOREIGN FIRM AGENT APPROVED 
• SWAP FIRM APPROVED 
• NFA MEMBER APPROVED 
• FUTURES COMMISSION MERCHANT REGISTERED 
FCM Financial Information
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Firm Activity Status
Firm has on-exchange futures and/or options customer accountsYes
Firm is soliciting customersYes
Firm manages futures or options customer accountsNo
Firm operates commodity poolsNo
Firm is engaged in retail off-exchange foreign currency futures and/or optionsNo
Regulatory Actions
 AgencyNumber
NFA0
CFTC0
Exchanges4
details...
 
NFA Arbitration Decisions
 RoleNumber
Claimant0
Respondent0
details...
 
CFTC Reparations Cases
Total0
details...
Formerly Known As
• WACHOVIA CAPITAL MARKETS LLC
 
Business Address
550 SOUTH TRYON STREET, 6TH FLOOR
D1086-060
CHARLOTTE, NC  28202
UNITED STATES
704-715-6133
Doing Business As
No other names
Listed Principals
 Listed Principal Name Title 10% or More
Financial Interest
RENEE ALLENDIRECTORNO
EVEREN CAPITAL CORPORATION YES
ROBERT JOHN JR MULLIGANCHIEF COMPLIANCE OFFICERNO
DAVID LADD PITELKACHIEF FINANCIAL OFFICERNO
GEORGE ANTHONY SIMONETTIHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
SCOTT CLARKE TAYLORDIRECTORNO
JONATHAN GEOFFREY WEISSCHIEF EXECUTIVE OFFICERNO
WELLS FARGO & COMPANY YES
History
 Status Effective Date
• EXEMPT FOREIGN FIRM AGENT APPROVED01/09/2014 
• SWAP FIRM APPROVED06/10/2013 
• SWAP FIRM PENDING06/10/2013 
• NFA MEMBER APPROVED06/09/2004 
• FUTURES COMMISSION MERCHANT REGISTERED06/09/2004 
• FUTURES COMMISSION MERCHANT PENDING11/25/2003 
• NFA MEMBER PENDING11/25/2003 
 
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