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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
Exchanges5
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
WALTER ERNESTO DOLHAREDIRECTORNO
MARY KATHERINE DUBOSEDIRECTORNO
ROBERT ANDREW ENGELDIRECTORNO
EVEREN CAPITAL CORPORATION YES
ROBERT JOHN JR MULLIGANCHIEF COMPLIANCE OFFICERNO
CHRISTOPHER WILLIAM PINKDIRECTORNO
DAVID LADD PITELKACHIEF FINANCIAL OFFICERNO
PAUL ANDREW RETTIGDIRECTORNO
DIANE SCHUMAKER KRIEGDIRECTORNO
JOHN RICHARD SHREWSBERRYDIRECTORNO
GEORGE ANTHONY SIMONETTIHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
JEREMY B SMITHDIRECTORNO
PHILLIP DANIEL SMITHDIRECTORNO
SCOTT CLARKE TAYLORDIRECTORNO
JONATHAN GEOFFREY WEISSCHIEF EXECUTIVE OFFICERNO
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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