Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peter? Claim Your ProfilePeter Waldron is a financial advisor at Wells Fargo Clearing Services, LLC in Irvine, California. Peter has been in the financial industry since 2004 and has extensive experience working with individuals, families, and businesses. Peter holds the Series 6, 7, 9, 10, 31, and 66 licenses. Peter has previously worked with UBS Financial Services Inc., Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and WMA Securities, Inc.
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
CA
03/30/2022 - Present
Wells Fargo Clearing Services, LLC (IRVINE CA)
CA
10/27/2011 - 04/14/2022
UBS FINANCIAL SERVICES INC. (BREA CA)
CA
06/01/2009 - 11/07/2011
MORGAN STANLEY SMITH BARNEY (SAN DIEGO CA)
CA
01/23/2009 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (TEMECULA CA)
CA
11/07/2005 - 01/27/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (TEMECULA CA)
GA
07/25/2000 - 07/06/2001
WMA SECURITIES, INC. (DULUTH GA)
BOTH
Issued 12/12/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/26/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/14/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/14/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/17/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 11/04/2005
Series 7 - General Securities Representative Examination
BC
Issued 07/24/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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