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Peter B Surdam jr

Wells Fargo Securities, LLC

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About Peter B Surdam jr

Peter Surdam jr is a financial advisor with Wells Fargo Securities, LLC, a broker-dealer and investment advisor registered with FINRA. Peter has been in the industry since September 1, 2004 and has a Series 7, Series 63, SIE and Series 99TO licenses. Peter has worked at several other firms in the past, including Wells Fargo Brokerage Services, L.L.C. and Citigroup Global Markets Inc. Peter holds a Uniform Securities Agent State Law Examination and has been registered in a total of 53 states.

Firm Information

Peter Surdam jr is currently registered with Wells Fargo Securities, LLC. Wells Fargo Securities, LLC is a Limited Liability Company formed in March 2003. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

1,325

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Peter Surdam jr’s Registration & Firm History

MA

11/06/2009 - Present

Wells Fargo Securities, LLC (BOSTON MA)

MA

03/05/2007 - 11/06/2009

WELLS FARGO BROKERAGE SERVICES, L.L.C. (BOSTON MA)

MA

09/02/2004 - 03/08/2007

CITIGROUP GLOBAL MARKETS INC. (BOSTON MA)

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Licenses & Designations

BC

Issued 09/21/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/01/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Peter B Surdam jr.
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