Important Legal Disclosures
True to our mission, we encourage you to read the following policies and learn how they affect you as a client.
- Alternative Trading Systems Notice to IRA and ERISA Accounts
- Business Continuity
- Callable Securities Disclosure
- Cash Sweep Program
- Certificates of Deposit (CDs) (PDF)
- Certificate of Deposit Disclosure Statement (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
- Exchange Subscriber Agreements
- Financial Transaction Taxes
- Form CRS – Wells Fargo Advisors (PDF)
- Form CRS – Wells Fargo Advisors Financial Network (PDF)
- A Guide to Investing in Floating-Rate Securities (PDF)
- IRA/ESA Disclosures
- Margin Disclosure
- MSRB Rule G-10 Disclosure
- Non-US Client Disclosure
- Online Access Agreement (WellsFargo.com)
- Order Types Disclosure
- Priority Credit Line Disclosure (PDF)
- Reg BI – Wells Fargo Advisors (PDF)
- Reg BI – Wells Fargo Advisors Financial Network (PDF)
- Remittance Transfer Notification
- SMA Trade Away Disclosure (PDF)
- 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 may route customer orders to national securities exchanges, ATSs, ECNs, and other market centers, including to its affiliate Wells Fargo Securities, LLC, on an agency basis. In some instances, WFCS may execute orders as principal.
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: Access Wells Fargo Clearing Services, LLC quarterly report.