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REDDIT

My sister is starting a new job at Wells Fargo. Questions about investing rules.

T
Feb 13, 2025 · 06:38

My sister is starting a new job at Wells Fargo to support a Financial Advisor and be part of their team. Sounds like some level of trade compliance is required for this role. She doesn’t have all the full details yet because she just got the offer letter today. A few questions:

1. Will she have to transfer her brokerage accounts to Wells Fargo?

2. She lives with my parents, and my dad definitely does a lot of stock trading. Will the trading compliance rules apply to him too or no?