For your reference, you can find key compliance and regulatory information below.
To view equity and option SEC Rule 606(a) order routing information prior to Quarter 2, 2024, see below:
To view equity and option SEC Rule 606(a) order routing information Quarter 2, 2024 and after, please use the link below.
View required disclosures for retail investors.
View required ERISA Covered Service Provider disclosures for customers with ERISA Plans
As a WF customer, your privacy and security come first. Your accounts and personal data remain protected under our privacy policies and security protocols.
WF Corporate & Investment Banking (CIB) and WF Securities (WFS) are the trade names used for the corporate banking, capital markets, and investment banking services of WF & Company and its subsidiaries, including but not limited to WF Securities, LLC, member of NYSE, FINRA, NFA, and SIPC, WF Prime Services, LLC, member of FINRA, NFA and SIPC, and WF Bank, N.A., member NFA and swap dealer registered with the CFTC and security-based swap dealer registered with the SEC, member FDIC. WF Securities, LLC and WF Prime Services, LLC, are distinct entities from affiliated banks and thrifts.
WF Bank, N.A. Municipal Finance Group and WF Securities, LLC are each registered with the U.S. Securities and Exchange Commission and the Municipal Securities Rulemaking Board (“MSRB”). An investor brochure is available at the MSRB’s web site (www.msrb.org) that describes the protections that may be provided by MSRB rules and how to file a complaint with an appropriate regulatory authority.
LRC-1225
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