Wells Fargo Advisors, LLC.; The petition seeks a declaratory statement from the Office on whether(Limited Activities) conducted by Petitioner and the Financial Advisors in the course of Petitioner's securities-related business require either ...

 

DEPARTMENT OF FINANCIAL SERVICES

Finance

NOTICE IS HEREBY GIVEN that on August 26, 2015, the Office of Financial Regulation has received the petition for declaratory statement from Wells Fargo Advisors, LLC. The petition seeks the agency’s opinion as to the applicability of Chapter 494, Florida States, as it applies to the petitioner.

The petition seeks a declaratory statement from the Office on whether (Limited Activities) conducted by Petitioner and the Financial Advisors in the course of Petitioner’s securities-related business require either Petitioner or the Financial Advisors to obtain mortgage broker and loan originator licensing under the Florida Mortgage Brokerage and Mortgage Lending Act, Chapter 494, Florida Statutes.

A copy of the Petition for Declaratory Statement may be obtained by contacting: Agency Clerk, Office of Financial Regulation, P.O. Box 8050, Tallahassee, Florida 32314-8050, [phone].

Please refer all comments to: Agency Clerk, Office of Financial Regulation, P.O. Box 8050, Tallahassee, Florida 32314-8050, [phone].