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
Exchanges6
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 NFA Arbitration Decisions 
 RoleNumber
Claimant0
Respondent0
details...
 CFTC Reparations Cases 
Total0
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 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(s) 10% or More
Financial Interest
RENEE ALLENDIRECTOR
NO
WALTER ERNESTO DOLHARECHIEF EXECUTIVE OFFICER
NO
MARY KATHERINE DUBOSEDIRECTOR
NO
ROBERT ANDREW ENGELCHIEF EXECUTIVE OFFICER
NO
EVEREN CAPITAL CORPORATION
YES
ROBERT JOHN JR MULLIGANCHIEF COMPLIANCE OFFICER
NO
CHRISTOPHER WILLIAM PINKDIRECTOR
NO
DAVID LADD PITELKACHIEF FINANCIAL OFFICER
NO
PAUL ANDREW RETTIGDIRECTOR
NO
DIANE SCHUMAKER KRIEGDIRECTOR
NO
JOHN RICHARD SHREWSBERRYDIRECTOR
NO
GEORGE ANTHONY SIMONETTIHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
JEREMY B SMITHDIRECTOR
NO
PHILLIP DANIEL SMITHDIRECTOR
NO
SCOTT CLARKE TAYLORDIRECTOR
NO
 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