Wells Fargo Clearing Services, LLC & Wells Fargo Advisors Financial Network, LLC Rule 605 and Rule 606 Disclosures

Wells Fargo Advisors (WFA) is a trade name used by Wells Fargo Clearing Services, LLC (WFCS, Firm CRD# 19616) and Wells Fargo Advisors Financial Network, LLC (WFAFN, Firm CRD# 11025). WFAFN introduces customer orders to its affiliated clearing broker, WFCS, on a fully disclosed basis. WFCS generally routes its and WFAFN’s non-directed customer orders in national market system securities (exchange-listed equity securities and standardized options) to national securities exchanges, alternative trading systems, electronic communication networks, and other market centers on an agency basis. The majority of non-directed customer orders in exchange-listed equity securities are routed by WFCS to its affiliate, Wells Fargo Securities, LLC. In some limited instances, WFCS may execute orders as principal. We are providing weblinks below that provide detailed order handling information. 

WFA has made every effort to prepare these reports in compliance with SEC rules. However, WFA does not guarantee the accuracy of the reports, which may contain inadvertent errors or may be impacted by outages or errors of market data systems, both internal and external to WFA. WFA shall not be liable for any person's use of the reports or for any damages arising from their use, including, without limitation, direct, indirect, punitive, special, incidental or consequential damages. In addition, the reports do not constitute an endorsement or recommendation of any particular market participant.