| Name: | WELLS FARGO SECURITIES, LLC |
| Jurisdiction: | Rhode Island |
| Entity type: | Foreign Limited Liability Company |
| Status: | Activ |
| Date of Organization in Rhode Island: | 27 Jun 2003 (22 years ago) |
| Identification Number: | 000132941 |
| Place of Formation: | DELAWARE |
| Principal Address: | 550 SOUTH TRYON STREET, CHARLOTTE, NC, 28202, USA |
| Purpose: | REGISTERD WITH SECURITIES AND EXCHANGE COMMISSION (SEC) AS A BROKER-DEALER AND WITH THE COMMODITY FUTURES TRADING COMMISSION (CFTC) AS A FUTURES COMMISSION MERCHANT (FCM). WFS LLC PROVIDES SECURITIES, INVESTMENT BANKING AND CAPITAL MARKETS PRODUCTS AND SERVICES TO MID-MARKET, LARGE, AND FORTUNE 500 COMPANIES AND INVESTMENT PRODUCTS TO INSTITUTIONAL INVESTORS IN THE U.S. WFS LLC’S PRODUCTS AND SERVICES INCLUDE FIXED-INCOME AND EQUITY SECURITIES UNDERWRITING, SALES AND TRADING, MERGERS AND ACQUISITIONS ADVISORY SERVICES, INVESTMENT BANKING AND PRODUCT ORIGINATION, PRIVATE PLACEMENTS, SECURITIES RESEARCH, LOAN SYNDICATIONS, PRIME BROKERAGE, AND FCM ACTIVITIES. WFS LLC WAS DESIGNATED AS A MATERIAL ENTITY BECAUSE IT IS ONE OF THE COMPANY’S LARGEST NON-BANK SUBSIDIARIES, MANAGING A MATERIAL BALANCE SHEET, AND IS SIGNIFICANT TO CERTAIN ASPECTS OF THE CORPORATE AND INVESTMENT BANKING CORE BUSINESS LINE. |
| Historical names: |
Wachovia Capital Markets, LLC |
NAICS
523110 Investment Banking and Securities DealingThis industry comprises establishments primarily engaged in underwriting, originating, and/or maintaining markets for issues of securities. Investment bankers act as principals (i.e., investors who buy or sell on their own account) in firm commitment transactions or act as agents in best effort and standby commitments. This industry also includes establishments acting as principals in buying or selling securities generally on a spread basis, such as securities dealers or stock option dealers. Learn more at the U.S. Census Bureau
| Name | Role | Address |
|---|---|---|
| CHRIS W. PINK | MANAGER | 301 SOUTH COLLEGE STREET CHARLOTTE, NC 28288 USA |
| DANIEL J THOMAS | MANAGER | 301 SOUTH COLLEGE STREET CHARLOTTE, NC 28288 USA |
| WALTER DOLHARE | MANAGER | 301 SOUTH COLLEGE STREET CHARLOTTE, NC 28288 USA |
| ROBERT A. ENGEL | MANAGER | 301 SOUTH COLLEGE STREET CHARLOTTE,, NC 28288 USA |
| STEVEN M. KIKER | MANAGER | 301 SOUTH COLLEGE STREET CHARLOTTE, NC 28288 USA |
| ROBERT J. MULLIGAN | MANAGER | 301 SOUTH COLLEGE STREET CHARLOTTE, NC 28288 USA |
| Name | Role | Address |
|---|---|---|
| CORPORATION SERVICE COMPANY | Agent | 222 JEFFERSON BOULEVARD SUITE 200, WARWICK, RI, 02888, USA |
| Type | Date | Old Value | New Value |
|---|---|---|---|
| Name Change | 2009-07-22 | Wachovia Capital Markets, LLC | WELLS FARGO SECURITIES, LLC |
| Number | Name | File Date |
|---|---|---|
| 202452937150 | Annual Report | 2024-04-29 |
| 202334588870 | Annual Report | 2023-04-28 |
| 202216454350 | Annual Report | 2022-04-30 |
| 202104325430 | Annual Report | 2021-10-30 |
| 202067855900 | Annual Report | 2020-10-23 |
| 201923856790 | Annual Report | 2019-10-10 |
| 201880633810 | Annual Report | 2018-11-01 |
| 201751961110 | Annual Report | 2017-10-20 |
| 201610284510 | Annual Report | 2016-10-13 |
| 201586595890 | Annual Report | 2015-10-30 |
Date of last update: 11 Apr 2025
Sources: Rhode Island Department of State
