Full text of WELLS FARGO SECURITIES, LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  ## **(\$#!\amp;#%\$** >!>49B53D/8?<<I 'G>54+E2C9491BI?6/5<<C1B7??=@1>I +D1D5=5>D?69>1>391<?>49D9?> 535=25B /9D8\*5@?BD?6!>45@5>45>D\*579CD5B54(E2<9333?E>D9>79B=,85B5?> {1}------------------------------------------------ UNITEDSTATES SECURITIES ANDEXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III | SEC FILE NUMBER | |-----------------| | 8-65876 | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING U1/01/2020 | | | AND ENDING 12/31/2020 | | |-------------------------------------------------------------------------------------------------------------------------|----------------------------------------------|---------------------------------------------------------------------|------------------------------------|--------------------------------| | | | MMDDIYY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: Wells Fargo Securities, LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | OFFICIAL USE ONLY<br>FIRM I.D. NO. | | | | | | | | | 550 South Tryon Street, Suite 3200 | | | | | | | | (No. and Street) | | | | Charlotte | | NC | | 28202 | | (CHA) | | (State) | | (Zip Code) | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | B. ACCOUNTANT IDEATHER CATION | | (Area Code - Telephone Number) | | KPMG, LLP | | PCAOB Registration #185 | | | | | | (Nome - if individual, xinte last, forst. michille name) | | | | | 550 South Tryon Street, Suite 3200 Charlotte | | NC | 28202 | | (Address) | | (City) | (Stase) | (Zip Code) | | CHECK ONE:<br>Certified Public Accountant<br>Public Accountant | | | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | | | \*Claims for examption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the exemption. See Section 240. 170-S(e)(2) > Potential persons who are to respond to the collection of Information contained in this form are not required to respond > unless the form displays a currently valid OMB control number. SEC 1410 (11-05) {2}------------------------------------------------ # OATH OR AFFIRMATION I. Duane Church swear (or affirm) that, to…Read the full text as markdown