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Details

WELLS FARGO ADVISORS LLC NFA ID: 0232813

Current Status
• INTRODUCING BROKER REGISTERED 
• NFA MEMBER APPROVED 
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
Exchanges1
details...
 
NFA Arbitration Decisions
 RoleNumber
Claimant0
Respondent0
details...
 
CFTC Reparations Cases
Total2
details...
Formerly Known As
• EVEREN SECURITIES INC
• FIRST UNION SECURITIES INC
• KEMPER SECURITIES GROUP INC
• KEMPER SECURITIES INC
• WACHOVIA SECURITIES INC
• WACHOVIA SECURITIES LLC
 
Business Address
ONE NORTH JEFFERSON AVENUE
MAIL CODE H0004-050
ST. LOUIS, MO  63103
UNITED STATES
314-875-3294
Doing Business As
No other names
Listed Principals
 Listed Principal Name Title 10% or More
Financial Interest
KATHLEEN ELLEN BARNEYCHIEF FINANCIAL OFFICERNO
FRANK SHELDON CHILDRESSHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
JAMES EDWARD HAYSHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
DARRELL MAURICE JACKSONHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
DOUGLAS LAIRD KELLYHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
DAVID JOHN KOWACHCHIEF EXECUTIVE OFFICERNO
JAMES TIEBOUT MCHALECHIEF COMPLIANCE OFFICERNO
BRAND FREDERICK MEYERHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
JOSEPH PETER NADREAUHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
JOHN CHARLES PARKER IIHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
ROBERT WILLIAM VORLOPHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
WACHOVIA SECURITIES FINANCIAL HOLDINGS LLC YES
History
 Status Effective Date
• INTRODUCING BROKER REGISTERED07/11/2014 
• FUTURES COMMISSION MERCHANT WITHDRAWN07/11/2014 
• INTRODUCING BROKER PENDING05/07/2014 
• FUTURES COMMISSION MERCHANT REGISTERED01/04/1991 
• NFA MEMBER APPROVED01/04/1991 
• FUTURES COMMISSION MERCHANT PENDING10/15/1990 
• NFA MEMBER PENDING10/15/1990 
 
NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.