Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peter? Claim Your ProfilePeter John Searles is a financial advisor with Wells Fargo Clearing Services, LLC. Peter has been working in the financial services industry since March 24, 1998. Peter is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7, 9, 10, 63 and 65 licenses. Peter also holds the SIE certification. Peter is registered to provide investment advice in several states including California, Connecticut, Florida, Hawaii, Maryland, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, South Carolina, Texas. Peter is a Certified Financial Planner. In addition to working with Wells Fargo, Peter is also a board member for the 48 Union Avenue Condo Association and is a part owner of a few racehorses.
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.
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2
RI
05/27/2021 - Present
Wells Fargo Clearing Services, LLC (PROVIDENCE RI)
RI
06/01/2009 - 06/19/2013
MORGAN STANLEY (PROVIDENCE RI)
RI
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PROVIDENCE RI)
RI
02/09/2007 - 04/02/2007
MORGAN STANLEY DW INC. (PROVIDENCE RI)
RI
03/25/1998 - 02/20/2007
CITIGROUP GLOBAL MARKETS INC. (PROVIDENCE RI)
IA
Issued 04/23/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/08/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/07/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/10/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/24/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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