| FIRST UNION CAPITAL MARKETS CORP |
| ASSOCIATED PERSON WITHDRAWN | 02/01/2000 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 02/01/2000 |
| ASSOCIATED PERSON REGISTERED | 11/11/1997 |
| NFA ASSOCIATE MEMBER APPROVED | 11/11/1997 |
| BRANCH MANAGER PENDING STATUS WITHDRAWN | 10/31/1997 |
| ASSOCIATED PERSON PENDING | 09/25/1997 |
| BRANCH MANAGER PENDING | 09/25/1997 |
| NFA ASSOCIATE MEMBER PENDING | 09/25/1997 |
| WELLS FARGO ADVISORS LLC |
| PRINCIPAL APPROVED | 08/18/2011 |
| BRANCH MANAGER APPROVED | 01/14/2010 |
| PRINCIPAL WITHDRAWN | 01/31/2008 |
| PRINCIPAL APPROVED | 02/05/2007 |
| PRINCIPAL PENDING | 02/05/2007 |
| BRANCH MANAGER WITHDRAWN | 08/03/2006 |
| BRANCH MANAGER APPROVED | 05/01/2000 |
| ASSOCIATED PERSON REGISTERED | 02/01/2000 |
| NFA ASSOCIATE MEMBER APPROVED | 02/01/2000 |
| BRANCH MANAGER PENDING | 12/23/1999 |