Wells Fargo Securities, LLC 

NC

  SEC # 1470801

        

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425  SEC Filings   from  8/24/09  to  2/9/24  (2 Months Ago)

List All Filings	or	Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent
Most-Recent Filing:		‘13F-NT’ — Quarterly Holdings Notice by a Money Manager — Form 13F — for 12/31/23 — Filed as:  Filer / Offerer
New-Filing E-Mail:			Send me notifications of all Filings involving  Wells Fargo Securities, LLC

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Forms , Documents & Exhibits  in  424 Filings  Filed as:  Filer / Offerer  or  Owner / Insider

        

Latest Filing			Type		Category	Description		Documents
2/9/24			13F-NT		Ownership:		Quarterly Holdings Notices by Money Managers — Form 13F — Assets Under Management	60
2/11/20	OLD		ABS-15G		ABS:		Asset-Backed Securities Securitizer Reports — Form ABS-15G  OLD	9
4/16/19	OLD		APP ORDR		SEC:		Application for an SEC Exemption Order – ‘40-APP’ SEC Order  OLD	1
3/20/19	OLD		APP NTC		SEC:		Application for an SEC Exemption Order – ‘40-APP’ SEC Notice  OLD	1
3/20/19	OLD		40-APP		Registration:		Application for an Exemption Order or Other Relief by an Investment Company  OLD	1
2/12/16	OLD		MA-W		Registration:		Notice of a Withdrawal from Registration by a Municipal Advisor — Form MA-W  OLD	1
9/3/15	OLD		MA-I		Registration:		Info re: Natural Persons Who Engage in Municipal Advisory Activity — Form MA-I  OLD	344
7/28/15	OLD		MA		Registration:		Applications for Registrations by Municipal Advisors — Form MA  OLD	6
2/24/15	OLD		MA-A		Registration:		Annual Update of Registration by a Municipal Advisor — Form MA  OLD	1

History as a Money Manager:  Assets Under Management  ·  Related Money Managers

No Forms  nor  Documents  Filed re:  Issuer / Subject Company

        

        

Filings History

Year		# of Filings
2024		1
2023		4
2022		5
2021		4
2020		5
2019		8
2018		5
2017		5
2016		6
2015		206
2014		156
2013		5
2012		5
2011		4
2010		4
2009		2