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 Waterloo is a registered investment advisor with Wealthpenn.comllc. Peter has been in the industry since 1984. Peter has experience with UBS Financial Services Inc., Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Lehman Brothers Inc. and Dean Witter Reynolds Inc. Peter is registered with the state of California and Texas, and has the following licenses: Series 7, Series 31, Series 63, Series 65 and the SIE exam. Peter has 28 state registrations and 2 IA state registrations. Peter is also the Secretary of the Corp. (proprietor, partner, officer, director, employee, trustee, agent) of TaylorSF Inc., a private company. TaylorSF Inc. is a real estate development company. Peter is a licensed investment advisor and has a long history of experience in the financial industry.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
03/03/2020 - Present
Wealthpenn.comllc (San Francisco CA)
CA
10/31/2008 - 06/12/2018
UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)
CA
04/02/2007 - 11/04/2008
MORGAN STANLEY & CO. INCORPORATED (SAN FRANCISCO CA)
CA
11/09/1994 - 04/02/2007
MORGAN STANLEY DW INC. (SAN FRANCISCO CA)
NY
06/30/1987 - 11/28/1994
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
04/27/1984 - 07/13/1987
DEAN WITTER REYNOLDS INC.
IA
Issued 9/7/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 3/29/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 2/12/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 3/17/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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