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Wells Fargo Advisors Facts at a Glance (as of March 31, 2012)Executive SummaryRetail Client Assets Registered Representatives Financial Advisors Licensed Bankers Correspondent Clearing Firms Wells

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What is retail client assets?

Retail client assets refer to the financial assets owned by individual clients who engage in retail investment products or services provided by a financial institution.

Who is required to file retail client assets?

Financial institutions, such as banks, investment firms, and brokerages, are required to file reports on retail client assets.

How to fill out retail client assets?

Retail client assets should be reported by financial institutions by providing detailed information on the financial holdings and investments of their individual retail clients.

What is the purpose of retail client assets?

The purpose of reporting retail client assets is to ensure transparency and accountability in the financial services industry, as well as to protect the interests of individual retail investors.

What information must be reported on retail client assets?

Information that must be reported on retail client assets includes details on the types of investments held, market values, ownership details, and any potential risks associated with the investments.

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