Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peggy? Claim Your ProfilePeggy Etheridge is a financial advisor at Wells Fargo Advisors Financial Network, LLC. Peggy has been in the financial services industry since 1990 and has a wide range of experience in providing financial advice to individuals and institutions. Peggy holds the Series 6, 7, 31, and 63 licenses, as well as the SIE. Peggy is also a Certified Financial Planner.
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
TX
09/12/2022 - Present
Wells Fargo Advisors Financial Network, LLC (PLANO TX)
TX
08/31/2012 - 09/12/2022
WELLS FARGO CLEARING SERVICES, LLC (PLANO TX)
TX
06/01/2009 - 09/21/2012
MORGAN STANLEY SMITH BARNEY (PLANO TX)
TX
04/11/2003 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PLANO TX)
NY
01/03/1997 - 04/16/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
12/04/1992 - 01/17/1997
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
09/06/1989 - 09/23/1991
MONY SECURITIES CORP. (NEW YORK NY)
NY
09/06/1989 - 10/15/1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK (NEW YORK NY)
NA
02/10/1983 - 04/14/1983
PHOENIX EQUITY PLANNING CORPORATION
IA
Issued 01/19/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/05/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/03/1993
Series 31 - Futures Managed Funds Examination
BC
Issued 12/02/1992
Series 7 - General Securities Representative Examination
BC
Issued 09/05/1989
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure Peggy Etheridge is the right advisor for you? Invested Better is here to help.
