# WELLS FARGO INVESTMENT INSTITUTE, INC.

> FINRA firm 133204 · ACTIVE · **⚠ HAS DISCLOSURE EVENTS** · CHARLOTTE, NC

## ⚠ Regulatory disclosure flag

FINRA reports regulatory or customer-dispute disclosure events for this firm. The disclosure detail (regulatory actions, arbitrations, customer complaints, criminal events) is on the canonical BrokerCheck page — every advisor / broker-dealer carrying a yes on this flag has at least one reported event.

## Key facts

- **FINRA firm ID:** 133204
- **Firm name:** WELLS FARGO INVESTMENT INSTITUTE, INC.
- **Other names:** 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.
- **Investment Adviser scope:** ACTIVE
- **SEC IA file number:** 801-64191
- **Branches:** 54
- **Has disclosure events:** YES
- **Headquarters:** CHARLOTTE, NC, 28202, United States

## Primary source

FINRA BrokerCheck: https://brokercheck.finra.org/firm/summary/133204

## Citation

> FINRA BrokerCheck, firm 133204 (WELLS FARGO INVESTMENT INSTITUTE, INC.). Retrieved via AI Analytics 2026-05-16 from https://api.ai-analytics.org/broker/133204.

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