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FIRM PROFILE
Overview
WELLS FARGO SECURITIES, LLC is located at 550 South Tryon Street, 6th Floor D1086-060, Charlotte, NC 28202 and was first established at Atlanta, Delaware in 03/05/2003. After operating for 23 years, WELLS FARGO SECURITIES, LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of WELLS FARGO SECURITIES, LLC’s clients are individuals and 0% of their clients are high net worth individuals. WELLS FARGO SECURITIES, LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at WELLS FARGO SECURITIES, LLC are registered to handle securities or provide financial advice. The firm has 159 disclosures, 158 being regulatory events, 1 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access WELLS FARGO SECURITIES, LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at WELLS FARGO SECURITIES, LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for WELLS FARGO SECURITIES, LLC Comes From
Understanding the Statistics for WELLS FARGO SECURITIES, LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
550 South Tryon Street 6th Floor D1086-060, Charlotte, NC, 28202
1 N Jefferson Ave H0004-063, St. Louis, MO 63103
Large
(314) 875-3286
Delaware since 03/05/2003
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | ||
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 | |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 | |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 | |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 | |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 | |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 | |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 | |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 | |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
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Advisor's working at WELLS FARGO SECURITIES, LLC
Davis Wade Austin
Stephen James Doeschot
Terry Lee Freeman
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