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Investment Adviser Firm Summary

WELLS FARGO CLEARING SERVICES, LLC (CRD# 19616 / SEC# 8-37180, 801-37967)
Alternate Names: EVEREN SECURITIES, INC. , FIRST CLEARING , FIRST UNION SECURITIES, INC. , KEMPER CAPITAL MARKETS, INC. , KEMPER SECURITIES GROUP, INC. , WACHOVIA SECURITIES, INC. , WACHOVIA SECURITIES, LLC , WELLS FARGO ADVISORS , WELLS FARGO ADVISORS, LLC , WELLS FARGO CLEARING SERVICES, 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 10/05/1990

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 01/02/1992
Alaska 06/11/1991
Arizona 03/28/2002
Arkansas 05/23/1991
California 07/08/1997
Colorado 02/23/1999
Connecticut 03/11/1998
Delaware 07/31/2003
District of Columbia 01/01/1996
Florida 11/23/1994
Georgia 01/16/1992
Hawaii 07/22/1991
Idaho 06/01/1992
Illinois 05/21/1999
Indiana 10/18/2000
Iowa 03/01/1999
Kansas 12/15/1997
Kentucky 03/28/2002
Louisiana 10/05/2001
Maine 08/13/1993
Maryland 03/31/1992
Michigan 03/28/2002
Minnesota 04/30/1991
Mississippi 05/22/1998
Missouri 04/01/1991
Montana 12/18/1997
Nebraska 04/14/1998
Nevada 08/30/1994
New Hampshire 01/01/1993
New Jersey 12/14/1992
New Mexico 01/16/1996
New York 01/14/1993
North Carolina 10/18/2000
North Dakota 03/28/2002
Ohio 04/19/2001
Oklahoma 04/19/2001
Oregon 03/28/2002
Pennsylvania 03/28/2002
Puerto Rico 08/02/2002
Rhode Island 10/09/1998
South Carolina 10/18/2000
South Dakota 12/01/1992
Tennessee 10/02/1997
Texas 11/01/1989
Utah 04/22/1991
Vermont 03/28/2002
Virgin Islands 06/24/2005
Virginia 08/20/1992
Washington 12/05/1991
West Virginia 01/05/1993
Wisconsin 05/13/1991
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