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Details

WELLS FARGO & COMPANY NFA ID: 0229238

Current Status
• ALSO SEE NFA ID 0322622 
 
WELLS FARGO BANK NA 
 
• PRINCIPAL APPROVED 
WELLS FARGO INVESTMENT INSTITUTE INC 
• PRINCIPAL APPROVED 
Regulatory Actions
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Formerly Known As
• WACHOVIA CORPORATION
 
History
 Status Effective Date
• ALSO SEE NFA ID 0322622 
 
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• PRINCIPAL WITHDRAWN 07/28/2002 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• PRINCIPAL WITHDRAWN 10/27/2000 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• PRINCIPAL WITHDRAWN 07/17/2002 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 INC02/01/2000 
• PRINCIPAL COMPLETE WITH WHEAT FIRST BUTCHER SINGER INC07/10/1999 
• PRINCIPAL ADDED WITH WHEAT FIRST BUTCHER SINGER INC07/11/1998 
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• PRINCIPAL WITHDRAWN 05/31/2000 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• PRINCIPAL WITHDRAWN 02/17/2000 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• PRINCIPAL WITHDRAWN 09/20/2006 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• PRINCIPAL WITHDRAWN 05/05/2010 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 BANK NA 
• PRINCIPAL APPROVED 12/04/2012 
• PRINCIPAL PENDING 11/30/2012 
WELLS FARGO CLEARING SERVICES LLC 
• PRINCIPAL WITHDRAWN 05/05/2010 
• PRINCIPAL ENDED WITH WHEAT FIRST BUTCHER SINGER INC10/23/2001 
• PRINCIPAL COMPLETE WITH WHEAT FIRST BUTCHER SINGER INC02/01/2000 
• PRINCIPAL APPROVED 11/01/1999 
WELLS FARGO INVESTMENT INSTITUTE INC 
• PRINCIPAL APPROVED 12/30/1999 
• PRINCIPAL PENDING 12/07/1999 
WELLS FARGO SECURITIES LLC 
• PRINCIPAL WITHDRAWN 06/13/2016 
• PRINCIPAL APPROVED 11/28/2003 
 
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