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Peter Frederick Bauer

Wells Fargo Clearing Services, LLC

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About Peter Frederick Bauer

Peter Bauer is a financial professional with over 40 years of experience in the financial services industry. Peter holds several licenses, including Series 7, Series 24, Series 27, Series 53, and Series 63. Peter is currently registered with Wells Fargo Clearing Services, LLC and has been with the firm since November 2016. Previously, Peter worked for Wolf Financial Management, LLC, Investment Management & Research, Inc, Terra Securities Corporation, Tri-Merica Securities Corporation, First Chicago Investment Services, Inc., and Gary-Wheaton Investment Services, Inc. Peter is committed to providing clients with personalized financial advice and guidance.

Firm Information

Peter Bauer is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Peter Bauer’s Registration & Firm History

IL

11/16/2015 - Present

Wells Fargo Clearing Services, LLC (ELMHURST IL)

IL

04/14/1998 - 04/07/2009

WOLF FINANCIAL MANAGEMENT, LLC (OAK BROOK IL)

FL

05/05/1994 - 06/03/1998

INVESTMENT MANAGEMENT & RESEARCH, INC (ST. PETERSBURG FL)

IL

02/01/1994 - 05/10/1994

TERRA SECURITIES CORPORATION (SCHAUMBURG IL)

IL

04/27/1993 - 01/31/1994

TRI-MERICA SECURITIES CORPORATION (TINLEY PARK IL)

IL

03/05/1992 - 04/23/1993

FIRST CHICAGO INVESTMENT SERVICES, INC. (CHICAGO IL)

NA

01/30/1986 - 02/19/1992

GARY-WHEATON INVESTMENT SERVICES, INC.

NA

11/01/1975 - 11/06/1981

WAYNE HUMMER & CO.

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Licenses & Designations

IA

Issued 08/05/1994

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/09/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/12/1987

Series 27 - Financial and Operations Principal Examination

BC

Issued 12/31/1985

Series 53 - Municipal Securities Principal Examination

BC

Issued 12/23/1985

Series 4 - Registered Options Principal Examination

BC

Issued 11/27/1985

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/07/1989

Series 5 - Interest Rate Options Examination

BC

Issued 10/09/1989

Series 15 - Foreign Currency Options Examination

BC

Issued 10/18/1975

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for Peter Frederick Bauer. Review regulatory record here.
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