Important Legal Disclosures
True to our mission, we encourage you to read the following policies and learn how they affect you as a client.
- Auction Rate Securities Practices and Procedures
- Business Continuity
- Callable Securities Disclosure
- Cash Sweep Program
- Certificates of Deposit (CDs) (PDF)
- Certificate of Deposit Disclosure Statement Summary (PDF)
- Collateralized Mortgage Obligations (CMOs) (PDF)
- Compensation Paid to Wells Fargo Clearing Services, LLC in Connection With Distributions of Closed-End Funds
- Day Trading Disclosure
- Electronic Delivery of Documents
- Email Disclosure
- Extended Hours Trading Disclosure
- Financial Transaction Taxes
- IRA/ESA Disclosures
- Margin Disclosure
- Non-US Client Disclosure
- Online Access Agreement (WellsFargo.com)
- Online Trading Agreement
- Remittance Transfer Notification
- Trading Halts & Limit Up-Limit Down Client Notice
- USA Patriot Act
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 customer orders are generally routed by WFCS to non-affiliated broker-dealers and exchanges on an agency basis. In some instances, WFCS may execute orders as principal or route them to an affiliated broker dealer, Wells Fargo Securities, LLC.
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 link. Access Wells Fargo Clearing Services, LLC quarterly report.
Prior to November 14, 2016, WFA also routed orders through an affiliated clearing firm, First Clearing, LLC (“FCLLC”). WFCS and FCLLC recently consolidated into a single broker-dealer. Quarterly reports disclosing First Clearing, LLC’s order routing information can be accessed via the following link. Access First Clearing, LLC quarterly report.