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WACHOVIA SECURITIES, INC.
CHARLOTTE, NC
704-379-9000
SEC #801-33602Total AUM
$1.2B
Employees
1,000Clients
0Firm overview
Client Breakdown by AUM
AUM previous 5 years
Smooth / Detailed
Business
Principal Address
IJL FINANCIAL CENTER
201 NORTH TRYON ST
CHARLOTTE
NC 28202
USA
201 NORTH TRYON ST
CHARLOTTE
NC 28202
USA
Operating Hours
8:00 AM - 5:00 PM
Monday - Friday
Monday - Friday
Phone
704-379-9000
Financials
Total AUM
$1.2B
Accounts
4,529Discretionary
$165.6M
Accounts
693Non-Discretionary
$1B
Accounts
3,836
Clients
None reported
Services
Services Offered
Advisor / Fund Manager SelectionFinancial PlanningIndividual Portfolio ManagementPension ConsultingPooled Vehicle Portfolio Management
Compensation Types
Charges CommissionCharges Fixed FeeCharges Hourly FeeCharges Percentage AUM
Compliance
Disclosures
Court Violation FindingOther Regulator Denial/Suspension/RevocationOther Regulator Order (Past 10 Years)Other Regulator Violation FindingSEC/CFTC Cause of Denial/SuspensionSEC/CFTC Order EntrySEC/CFTC Penalty/Cease-and-DesistSEC/CFTC Violation FindingSRO Rule Violation
State Registrations
ALARCACTDCDEGAIDINKSLAMAMDMEMNMOMTNCNHNVNYOKRISCTNVAVTWAWIWV
Affiliates
Affiliates
Reported 1 business affiliate.
Claimed Affiliates
Reported as an affiliate by 0 other businesses.