Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Al? Claim Your ProfileAl Henry Peralta is a registered representative with Wells Fargo Clearing Services, LLC. Al has been in the industry since 2005, working previously at UBS Financial Services Inc., Morgan Stanley Smith Barney, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Al is registered in 27 states for both Broker-Dealer and Investment Advisor services. Al is also licensed in Series 7, Series 66, and SIE examinations. Al has a strong track record of providing financial advice to individuals, high-net-worth individuals, corporations, and institutional clients. Al specializes in providing financial planning, portfolio management, and investment consulting services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CT
07/21/2023 - Present
Wells Fargo Clearing Services, LLC (GREENWICH CT)
CT
05/02/2012 - 01/27/2020
UBS FINANCIAL SERVICES INC. (STAMFORD CT)
CT
01/11/2011 - 05/02/2012
MORGAN STANLEY SMITH BARNEY (STAMFORD CT)
CT
08/03/2005 - 11/10/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (STAMFORD CT)
BOTH
Issued 02/17/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/01/2005
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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