January 25, 2015 5:29 PM ET

Capital Markets

Company Overview of Wells Fargo Securities, LLC

Company Overview

Wells Fargo Securities, LLC is a boutique investment bank that offers financial advisory services. It provides mergers and acquisitions, private placements, and debt and equity capital raising advisory services. The firm also offers loan syndication, market analysis and research, and equity trading services. Wells Fargo Securities, LLC was formerly known as Wachovia Capital Markets, LLC and changed its name to Wachovia Capital Markets, LLC on 3rd July, 2009 as a result of a merger. The firm is based in San Francisco, California. Wells Fargo Securities, LLC operates as a subsidiary of EVEREN Capital Corporation.

550 South Tryon Street

6th Floor

D1086-060

Charlotte, NC 28202

United States

Founded in 1998

Phone:

704-715-6133

Key Executives for Wells Fargo Securities, LLC

Head of Middle Market Banking
Head of Program Trading Desk
Head of Program Trading Sales and Director
Vice Chairman of Energy & Power Sector for Investment Banking and Capital Markets Division
Compensation as of Fiscal Year 2014.

Wells Fargo Securities, LLC Key Developments

Wells Fargo Securities, LLC Presents at 2015 Wells Fargo Denver Food Symposium, Jan-21-2015 08:00 AM

Wells Fargo Securities, LLC Presents at 2015 Wells Fargo Denver Food Symposium, Jan-21-2015 08:00 AM. Venue: The Brown Palace, 321 17th Street, Denver, CO 80202, United States. Speakers: Jay Bryson, Managing Director, Global Economist.

Wells Fargo Securities, LLC Presents at Wells Fargo Securities Research, Economics & Strategy 2014 Energy Symposium, Dec-09-2014 through Dec-10-2014

Wells Fargo Securities, LLC Presents at Wells Fargo Securities Research, Economics & Strategy 2014 Energy Symposium, Dec-09-2014 through Dec-10-2014. Venue: The Waldorf Astoria, 301 Park Avenue, New York, NY 1002, United States. Presentation Date & Speakers: Dec-09-2014, Michael J. Blum, Managing Director, Equity Research. Dec-10-2014, Tim Quinian, Economist.

Ontario Securities Commission Announces Ruling for Wells Fargo Securities, LLC

Upon the application of Wells Fargo Securities, LLC to the Ontario Securities Commission for: a ruling of the Commission, pursuant to section 38 of the CFA, that the Applicant is not subject to the dealer registration requirement in the CFA or the trading restrictions in the CFA in connection with trades (Futures Trades) in Exchange-Traded Futures on exchanges located outside Canada (Non-Canadian Exchanges) where the Applicant is acting as principal or agent in such trades to, from or on behalf of Permitted Clients; a ruling of the Commission, pursuant to section 38 of the CFA, that a Permitted Client is not subject to the dealer registration requirement or the trade restrictions in the CFA in connection with Futures Trades on Non-Canadian Exchanges, where the Applicant acts in respect of the Futures Trades on behalf of the Permitted Client pursuant to the above ruling; and a decision of the Director, pursuant to section 6.1 of Rule 91-502, exempting the Applicant and its salespersons, directors, officers and employees from section 3.1 of Rule 91-502 in connection with Futures Trades; and whereas for the purposes of this ruling and exemption. It is ruled, pursuant to section 38 of the CFA, that the Applicant is not subject to the dealer registration requirement set out in the CFA or the trading restrictions in the CFA in connection with Futures Trades where the Applicant is acting as principal or agent in such trades to, from or on behalf of Permitted Clients provided that: each client effecting Futures Trades is a Permitted Client and, if using a Non-WFS Clearing Broker, has represented and covenanted that the broker is or will be appropriately registered or exempt from registration under the CFA; the Applicant only executes and clears Futures Trades for Permitted Clients on Non-Canadian Exchanges; and at the time trading activity is engaged in, the Applicant: has its head office or principal place of business in the United States; is registered as a futures commission merchant with the CFTC in good standing; is a member in good standing with the NFA; engages in the business of a futures commission merchant in Exchange-Traded Futures in the United States; the Applicant has provided to the Permitted Client the following disclosure in writing: a statement that the Applicant is not registered in Ontario to trade in Exchange-Traded Futures as principal or agent; a statement that the Applicant's head office or principal place of business is located in Charlotte, North Carolina, United States of America; a statement that all or substantially all of the Applicant's assets may be situated outside of Canada; a statement that there may be difficulty enforcing legal rights against the Applicant because of the above; and the name and address of the Applicant's agent for service of process in Ontario; the Applicant has submitted to the Commission a completed Submission to Jurisdiction and Appointment of Agent for Service; the Applicant notifies the Commission of any regulatory action after the date of this ruling in respect of the Applicant, or any predecessors or specified affiliates of the Applicant, by completing and filing with the Commission Appendix "B" hereto within ten days of the commencement of such action; provided that this condition shall not be required to be satisfied for so long as WFSC remains an investment dealer in good standing under Ontario securities laws; the Applicant complies with the filing and fee payment requirements applicable to an unregistered exempt international firm under OSC Rule 13-502 Fees; by December 1 of each year, the Applicant notifies the Commission of its continued reliance on the exemption from the dealer registration requirement granted pursuant to this Decision; and this Decision shall expire five years after the date hereof.

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