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Investment Adviser Firm Summary

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD# 11025 / SEC# 8-28721, 801-57434)
Alternate Names: CORPORATE SECURITIES GROUP, INC. , FIRST UNION SECURITIES FINANCIAL NETWORK, INC. , JWGENESIS FINANCIAL SERVICES, INC. , SCHOR SECURITIES CORPORATION , WACHOVIA SECURITIES FINANCIAL NETWORK, INC. , WACHOVIA SECURITIES FINANCIAL NETWORK, LLC , WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/03/2000

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 05/28/1997
Alaska 02/22/2002
Arizona 09/08/1999
Arkansas 10/08/1999
California 07/08/1997
Colorado 03/11/1999
Connecticut 02/05/2001
Delaware 08/12/2003
District of Columbia 08/11/2000
Florida 01/30/1985
Georgia 01/16/1992
Hawaii 02/15/2002
Idaho 11/14/2000
Illinois 04/01/2002
Indiana 03/18/2002
Iowa 02/25/2002
Kansas 03/27/2002
Kentucky 02/15/2002
Louisiana 02/15/2002
Maine 03/27/2002
Maryland 03/30/2001
Michigan 03/30/2001
Minnesota 03/01/2002
Mississippi 03/30/2001
Missouri 05/14/1997
Montana 02/15/2002
Nebraska 03/30/2001
Nevada 06/18/1997
New Hampshire 03/30/2001
New Jersey 05/04/1995
New Mexico 03/30/2001
New York 09/19/1994
North Carolina 03/30/2001
North Dakota 02/15/2002
Ohio 03/30/2001
Oklahoma 02/05/2001
Oregon 10/31/2005
Pennsylvania 02/15/2002
Puerto Rico 03/28/2016
Rhode Island 02/15/2002
South Carolina 06/14/1999
South Dakota 02/21/2002
Tennessee 10/30/2001
Texas 05/12/1986
Utah 02/19/2002
Vermont 02/15/2002
Virgin Islands 06/23/2005
Virginia 03/30/2001
Washington 07/10/1997
West Virginia 01/01/2002
Wisconsin 02/15/2002
Wyoming 07/03/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser