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)
• Online Extended Hours Trading Risk Disclosures
• 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, Firm CRD# 19616) and Wells Fargo Advisors Financial Network (WFAFN, Firm CRD# 11025). WFAFN introduces equity and option orders to its affiliated clearing broker, WFCS, on a fully disclosed basis.

WFA routes a majority of customer orders to its affiliate, Wells Fargo Securities, LLC, on an agency basis. WFA may also route customer orders to national securities exchanges, ATSs, ECNs, and other market centers. In some instances, WFCS may execute orders as principal.

SEC Rule 606 requires broker-dealers that route orders in equity and option securities to publish quarterly reports that provide information about their order routing practices.

To obtain order routing information for order activity on or after 4/1/24, please use the following web link: www.finra.org/finra-data/606-nms-data

To obtain order routing information for order activity prior to 4/1/24, please use the following web link: www.wellsfargoadvisors.com/disclosures/legal-disclosures/order-routing-606.htm

Related Information

Form CRS: Relationship Summary

• Wells Fargo Advisors (PDF)
• Wells Fargo Advisors Financial Network (PDF)

Investment and Insurance Products are:

• Not Insured by the FDIC or Any Federal Government Agency
• Not a Deposit or Other Obligation of, or Guaranteed by, the Bank or Any Bank Affiliate
• Subject to Investment Risks, Including Possible Loss of the Principal Amount Invested

© 2024 Wells Fargo Clearing Services, LLC. All rights reserved.

Wells Fargo Advisors is a trade name used by Wells Fargo Clearing Services, LLC (WFCS) and Wells Fargo Advisors Financial Network, LLC, Members SIPC, separate registered broker-dealers and non-bank affiliates of Wells Fargo & Company. WellsTrade ® and Intuitive Investor ® accounts are offered through WFCS.

Links to third-party websites are provided for your convenience and informational purposes only. Wells Fargo Advisors is not responsible for the information contained on third-party websites.