Full text of WELLS FARGO SECURITIES, LLC's X-17A-5 filed 2022-02-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  # **WELLS FARGO SECURITIES, LLC** (An Indirect Wholly-Owned Subsidiary of Wells Fargo & Company) Financial Statements and Supplementary Schedules # December 31 , 2021 (With Report of Independent Registered Public Accounting Firm Thereon) These financial statements and supplementary schedules should be deemed confidential pursuant to subparagraph ( e )(3) of SEC Rule 17 a-5 and paragraph (g) of CFTC Regulation 1.10 {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL **0MB** Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17 A-5 PART** Ill 8-65876 SEC FILE NUMBER **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING | ___<br>0_1/_0_1/_2_1<br>MM/DD/YY | ___<br>AND ENDING | ___ | ___<br>_<br>12_/_31_/2_1<br>MM/DD/YY | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------|-----------------------------------------|---------|-------------------------------------------------| | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM : ___ | W_e_lls_F_ar;g_o_S_e_c_u_ri_tie_s_,_L_L_C | ________________ | | _ | | TYPE OF REGISTRANT (check all applicable boxes):<br>O Security-based swap dealer<br>Elf Broker-dealer<br>D Check here if respondent Is also an OTC derivatives dealer | | • Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no,) | | | | | | 550 South Tryon Street, 6th Floor | | | | | | | (No. and Street) | | | | | Charlotte | | NC | | 28202 | | (City) | | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | James W. Gnall | 917-699-6822 | | | james.w.gnall@wellsfargo.com | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>KPMG, LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 345 Park Avenue | New York | | NY | 10154-0102 | | (Address) | (City) | | (State) | (Zip Code) | | 10/20/2003 | | | | 185 | | T"<br>of Regl…Read the full text as markdown