← SEC administrative proceedings

Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC

Investment Advisers Act of 1940 · IA-5199 · 2019-03-11 · File 3-19102

Proceeding

Release Number

IA-5199

Statutory Act

Investment Advisers Act of 1940

File Number

3-19102

Publish Date

2019-03-11

Respondents

• Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC

Source

Order PDF

SEC.gov

Authoritative

SEC Administrative Proceedings

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