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WELLS FARGO SECURITIES LLC NFA ID: 0336875 Current Status • NFA MEMBER APPROVED  • FUTURES COMMISSION MERCHANT REGISTERED  FCM Financial Information Click the link below to view financial information for this firm View Financial Information Firm Activity Status Firm has on-exchange futures and/or options customer accounts Yes Firm is soliciting customers Yes Firm manages futures or options customer accounts No Firm operates commodity pools No Firm is engaged in retail off-exchange foreign currency futures and/or options No Regulatory Actions  Agency Number NFA 0 CFTC 0 Exchanges 0 details...   NFA Arbitration Decisions  Role Number Claimant 0 Respondent 0 details...   CFTC Reparations Cases Total 0 details... Formerly Known As • WACHOVIA CAPITAL MARKETS LLC   Business Address 550 SOUTH TRYON STREET, 6TH FLOOR D1086-060 CHARLOTTE, NC  28202 UNITED STATES 704-410-2151 Doing Business As No other names Listed Principals  Listed Principal Name Title 10% or More Financial Interest RENEE ALLEN DIRECTOR NO EVEREN CAPITAL CORPORATION YES ALAN L JR MAXWELL CHIEF FINANCIAL OFFICER NO ROBERT JOHN JR MULLIGAN CHIEF COMPLIANCE OFFICER NO JOHN RICHARD SHREWSBERRY PRESIDENT NO GEORGE ANTHONY SIMONETTI HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO SCOTT CLARKE TAYLOR DIRECTOR NO WELLS FARGO & COMPANY YES History  Status Effective Date • NFA MEMBER APPROVED 06/09/2004  • FUTURES COMMISSION MERCHANT REGISTERED 06/09/2004  • FUTURES COMMISSION MERCHANT PENDING 11/25/2003  • NFA MEMBER PENDING 11/25/2003