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Important Legal Disclosures

True to our mission, we encourage you to read the following policies and learn how they affect you as a client.

Wells Fargo Clearing Services, LLC & Wells Fargo Advisors Financial Network, LLC Rule 606 Disclosure of Order Routing Information

Wells Fargo Advisors (“WFA”) is a trade name used by Wells Fargo Clearing Services, LLC (“WFCS”) and Wells Fargo Advisors Financial Network (“WFAFN”). WFA may route customer orders to national securities exchanges, ATSs, ECNs, and other market centers, including to its affiliate Wells Fargo Securities, LLC, on an agency basis. In some instances, WFCS may execute orders as principal.

SEC Rule 606 requires broker-dealers that route orders in certain equity and option securities to make available quarterly reports that present a general overview of their routing practices.

Quarterly reports disclosing WFCS order routing information can be accessed via the following: Access Wells Fargo Clearing Services, LLC quarterly report.