Wells Fargo Advisors

Our firm represents brokers, branch managers and investors in matters involving Wells Fargo Advisors. Wells Fargo is one of the nation’s largest financial services firms, serving and advising clients nationwide through more than 15,000 financial advisors. Wells Fargo is the culmination of a number of mergers and acquisitions over the years, and counts among it lineage numerous firms including First Union, Wheat First, Butcher & Singer, Everen Capital and Wachovia. Its oldest predecessor company, is Leopold Cahn & Co

Wells Fargo Advisors is a non-bank affiliate of Wells Fargo & Company, one of the nation’s largest and most respected financial institutions. In business since 1852 and named on Fortune magazine’s “World’s Most Admired Companies” list every year since 2009, Wells Fargo is known and respected for its responsible stewardship of its clients’ assets.

Main Office – One North Jefferson Avenue, St. Louis, MO 63103

Owners and Officers (As of February 2016)

Wachovia Securities Financial Holdings, LLC – Sole Member

Officers:

BARNEY, KATHLEEN ELLEN (CRD# 6168269) – CHIEF FINANCIAL OFFICER
HAYS, JAMES EDWARD (CRD# 1569212) – HEAD OF WEALTH BROKERAGE SERVICES
HUBBERT, MARK WILLIAM (CRD# 1802805) – CHIEF RISK AND CREDIT OFFICER
HUMMELS, BETH ANN (CRD# 5942307) – HUMAN RESOURCES DIRECTOR
HURLEY, KEVIN BRADY (CRD# 1293748) – CHIEF COMPLIANCE OFFICER (IA ONLY)
KELLY, DOUGLAS LAIRD (CRD# 2428802) – CHIEF LEGAL OFFICER
KITCHIN, KEVIN THOMAS (CRD# 1841815) – DESIGNATED STATE PRINCIPAL
KOWACH, DAVID JOHN (CRD# 2154665) – HEAD OF THE PRIVATE CLIENT GROUP
MACK, MARY TABB (CRD# 2959378) – PRESIDENT – CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS
MCHALE, JAMES TIEBOUT (CRD# 6052977) – CHIEF COMPLIANCE OFFICER
MEYER, BRAND FREDERICK (CRD# 808629) – HEAD OF INDEPENDENT BROKERAGE GROUP / BOARD OF MANAGERS
NADREAU, JOSEPH PETER (CRD# 2382449) – MANAGING DIRECTOR OF INNOVATION & STRATEGY
PARKER, JOHN CHARLES II (CRD# 04474610) – CHIEF OPERATING OFFICER (OPERATIONS) / HEAD OF BUSINESS SERVICES
VORLOP, ROBERT WILLIAM (CRD# 1146770) – HEAD OF WFA PRODUCTS & ADVICE

There are nearly 900 arbitration awards, involving Wells Fargo Advisor at FINRA Arbitration, which includes cases where Wells Fargo was the claimant, cases where it successfully defended against broker or customer claims.