Wells Fargo Securities, LLC. (San Francisco)

Name: Wells Fargo Securities, LLC.
Address: 600 California Street, San Francisco, CA, 94108 2704
Telephone: 415-391-5600

Wells Fargo Securities, LLC. is a large advisory firm based in San Francisco. It manages $266.45 million of regulatory assets for 1,410 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of Arizona, California, Idaho, and 5 other states.

Wells Fargo Securities provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Wells Fargo Securities: assets under management

The assets under management (AUM) of Wells Fargo Securities, LLC. is $266.45 million, all of which is managed in discretionary accounts. The company doesn't manage any assets belonging to foreign clients.

The firm manages $266.45 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $188.97 thousand each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Wells Fargo Securities, LLC. for their services and products based on a percentage of assets under management and commissions. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Wells Fargo Securities, LLC.

Franklin Vanda Kasper has been acting as President since 1 Jan 2002. Steven Dale Piper joined the executive team most recently as the Chief Compliance Officer, Crop And Srop.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Wells Fargo Private Client Funding	Parent	1 Jan 2001	75% - 100%	94-3379992
Laurel Leigh Ohotto	Controller	1 Sep 2001	Other	1889204
Frank James Niezgoda	Senior vice president	1 Jan 2002	Other	720865
Franklin Vanda Kasper	Chairman of the board/director	1 Jan 2002	Other	264747
John Paul Hullar	Co-president/co-chief executive officer/director	1 Jan 2002	Other	xxx-xx-xxxx
Michael Dave Hernandez	Director/co-president/co-chief executive officer	1 Jan 2002	Other	844756
J. Michael Johnson	Director	1 Jan 2002	Other	xxx-xx-xxxx
Timothy John Sloan	Vice chairman of the board/director	1 Jan 2002	Other	xxx-xx-xxxx
John Charles Caruana	Senior vice president	1 Jan 2002	Other	1271045
Katherine Marie Kilbourne	Vp/chief financial officer/treasurer	1 Jan 2002	Other	xxx-xx-xxxx
Steven Dale Piper	Chief compliance officer, crop and srop	1 Oct 2002	Other	708823

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Wells Fargo & Company	Shareholder	1 Oct 2000	75% - 100%	41-0449260

Based in San Francisco

The principal office where Wells Fargo Securities, LLC. performs its advisory services is located at 600 California Street, San Francisco, CA 94108 2704, which is also the mailing address of the firm. An additional office of the firm is in Los Angeles, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 415-391-5600 or by fax 415-675-2777. The normal business hours are 6:00 am to 5:30 pm on Monday - Friday. You can find more information about the New York firm at www.fsvk.com.