Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peter? Claim Your ProfilePeter Michael Brown is an active broker with Wells Fargo Clearing Services, LLC. Peter has been a registered representative in the securities industry since 1997. Prior to Wells Fargo, Peter was associated with Innovation Partners LLC, PNC Investments, Cetera Advisor Networks LLC, NRF Capital Markets, LLC, Welton Street Investments LLC, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, WMA Securities, Inc., and The Stuart-James Company, Incorporated. Peter's expertise includes Portfolio Management, Investment Consulting, Financial Planning and Pension Consulting.
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
NC
06/26/2023 - Present
Wells Fargo Clearing Services, LLC (CHARLOTTE NC)
NC
02/15/2019 - 08/12/2019
INNOVATION PARTNERS LLC (Charlotte NC)
NC
11/21/2014 - 02/27/2019
PNC INVESTMENTS (CHARLOTTE NC)
NC
07/27/2013 - 11/14/2014
CETERA ADVISOR NETWORKS LLC (MATTHEWS NC)
CO
04/20/2010 - 10/12/2011
NRF CAPITAL MARKETS, LLC (GREENWOOD VILLAGE CO)
CO
08/26/2009 - 06/17/2010
WELTON STREET INVESTMENTS LLC (ENGLEWOOD CO)
CO
06/17/2008 - 06/10/2009
WELTON STREET INVESTMENTS LLC (ENGLEWOOD CO)
CO
04/02/2007 - 05/07/2008
MORGAN STANLEY & CO. INCORPORATED (CENTENNIAL CO)
CO
11/22/2006 - 04/02/2007
MORGAN STANLEY DW INC. (CENTENNIAL CO)
CO
07/30/1996 - 11/21/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (COLORADO SPRINGS CO)
GA
12/22/1995 - 07/25/1996
WMA SECURITIES, INC. (DULUTH GA)
NY
05/03/1990 - 01/04/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CO
05/25/1988 - 05/18/1989
THE STUART-JAMES COMPANY, INCORPORATED (DENVER CO)
BOTH
Issued 02/12/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/31/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/20/2009
Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination
BC
Issued 11/10/2008
Series 24 - General Securities Principal Examination
BC
Issued 02/02/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/02/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/28/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/07/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 05/21/1988
Series 7 - General Securities 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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