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WELLS FARGO & COMPANY NFA ID: 0229238 Current Status • ALSO SEE NFA ID 0322622    ALTERNATIVE STRATEGIES GROUP INC    • PRINCIPAL APPROVED  WELLS FARGO BANK NA  • PRINCIPAL APPROVED  WELLS FARGO SECURITIES LLC  • PRINCIPAL APPROVED  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 No other names   Security Futures Proficiency Training No proficiency information available Doing Business As No other names History  Status Effective Date • ALSO SEE NFA ID 0322622    ALTERNATIVE STRATEGIES GROUP INC  • PRINCIPAL APPROVED 12/30/1999  • PRINCIPAL PENDING 12/07/1999  CAPTRUST FINANCIAL ADVISORS LLC  • PRINCIPAL WITHDRAWN 07/28/2002  • PRINCIPAL APPROVED 04/26/2001  • PRINCIPAL WITHDRAWN 10/27/2000  • PRINCIPAL APPROVED 04/13/1999  • PRINCIPAL PENDING 04/01/1999  EVERGREEN INVESTMENT MANAGEMENT CO LLC  • PRINCIPAL WITHDRAWN 07/17/2002  • PRINCIPAL APPROVED 05/17/2002  • PRINCIPAL PENDING 04/11/2002  FIRST UNION CAPITAL MARKETS CORP  • PRINCIPAL ENDED WITH WHEAT FIRST BUTCHER SINGER INC 02/01/2000  • PRINCIPAL COMPLETE WITH WHEAT FIRST BUTCHER SINGER INC 07/10/1999  • PRINCIPAL ADDED WITH WHEAT FIRST BUTCHER SINGER INC 07/11/1998  FIRST UNION FUTURES CORPORATION  • PRINCIPAL WITHDRAWN 05/31/2000  • PRINCIPAL APPROVED 04/02/1990  • PRINCIPAL PENDING 03/23/1990  ISC FUTURES CORPORATION  • PRINCIPAL WITHDRAWN 02/17/2000  • PRINCIPAL APPROVED 04/13/1999  • PRINCIPAL PENDING 04/01/1999  WACHOVIA SECURITIES INC  • PRINCIPAL WITHDRAWN 09/20/2006  • PRINCIPAL APPROVED 04/13/1999  • PRINCIPAL PENDING 04/01/1999  WELLS FARGO ADVISORS FINANCIAL NETWORK LLC  • PRINCIPAL WITHDRAWN 05/05/2010  • PRINCIPAL APPROVED 04/23/2004  WELLS FARGO ADVISORS LLC  • PRINCIPAL WITHDRAWN 05/05/2010  • PRINCIPAL ENDED WITH WHEAT FIRST BUTCHER SINGER INC 10/23/2001  • PRINCIPAL COMPLETE WITH WHEAT FIRST BUTCHER SINGER INC 02/01/2000  • PRINCIPAL APPROVED 11/01/1999  WELLS FARGO BANK NA  • PRINCIPAL APPROVED 12/04/2012  • PRINCIPAL PENDING 11/30/2012  WELLS FARGO SECURITIES LLC  • PRINCIPAL APPROVED 11/28/2003