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76th United States Congress / Investment Advisers Act / Investment Advisor / U.S. Securities and Exchange Commission / Financial adviser / Dodd–Frank Wall Street Reform and Consumer Protection Act / Wells Fargo / Broker-dealer / Registered Investment Advisor / Financial economics / Finance / Business


Wells Fargo Advisors, LLC Regulatory Policy One North Jefferson Avenue St. Louis, Missouri[removed]HO004[removed] (t)
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Document Date: 2014-09-18 15:48:59

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File Size: 103,74 KB

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City

No. / /

Company

Wells Fargo Advisors LLC / Wells Fargo Advisors Financial Network LLC / Wells Fargo & Company / 2 Wells Fargo & Company / First Clearing LLC / /

Country

United States / /

Currency

USD / /

/

IndustryTerm

retail wealth management / bank / banking / clearing services / finance / retail bank branches / /

Organization

Congress / Federal Communications Commission / Securities and Exchange Commission’s Investor Advisory Committee for BrokerDealer Fiduciary Duty / Securities and Exchange Commission / Investor Advisory Committee for Broker-Dealer Fiduciary Duty / FINRA / /

Person

Robert J. McCarthy / Elizabeth M. Murphy / David M. Carroll / Ronald C. Long / /

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Position

full-service financial advisors / Director of Regulatory Policy / investment advisor / correspondent clients / Secretary / /

ProgrammingLanguage

DC / /

URL

http /

SocialTag