WELLS FARGO INVESTMENT INSTITUTE, INC. ⚠ Disclosure events ACTIVE IA
⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the canonical BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.
Key facts
- FINRA firm ID
- 133204
- Firm name
- WELLS FARGO INVESTMENT INSTITUTE, INC.
- Other names / DBAs
- A.G. EDWARDS CAPITAL, INC. (RELYING ADVISER); WELLS FARGO INVESTMENT INSTITUTE, INC.; WACHOVIA ALTERNATIVE STRATEGIES, INC.; SOCIAL IMPACT INVESTING TEAM; OPTION STRATEGIES GROUP; GLOBAL SECURITIES RESEARCH; GLOBAL PORTFOLIO MANAGEMENT; GLOBAL MANAGER RESEARCH; GLOBAL INVESTMENT STRATEGY; GLOBAL ASSET ALLOCATION; GLOBAL ALTERNATIVE INVESTMENTS; FIXED INCOME STRATEGIES TEAM; EVERGREEN INVESTMENTS; EVERGREEN FPS, INC.; EVERGREEN ALTERNATIVE STRATEGIES, INC.; EQUITY OPTIMIZATION; ALTERNATIVE STRATEGIES GROUP, INC.
- IA scope
- ACTIVE
- SEC IA file
- 801-64191
- Branches
- 54
- Disclosure events
- YES
- HQ
- CHARLOTTE, NC, 28202, United States
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