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Peter Neil Dorfman

Wells Fargo Securities, LLC

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About Peter Neil Dorfman

Peter Dorfman is a financial advisor at Wells Fargo Securities, LLC. Peter has been in the financial services industry since March 16, 2010 and is licensed to sell securities in all 50 states, as well as Puerto Rico and the Virgin Islands. Peter previously worked at Truist Investment Services, Inc. and SunTrust Robinson Humphrey, Inc.

Firm Information

Peter Dorfman is currently registered with Wells Fargo Securities, LLC. Wells Fargo Securities, LLC is a Limited Liability Company formed in March 2003. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

1,325

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.

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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Peter Dorfman’s Registration & Firm History

FL

08/27/2024 - Present

Wells Fargo Securities, LLC (Fort Lauderdale FL)

FL

09/05/2018 - 06/20/2024

TRUIST INVESTMENT SERVICES, INC. (FORT LAUDERDALE FL)

MA

10/20/2011 - 07/09/2018

SUNTRUST ROBINSON HUMPHREY, INC. (BOSTON MA)

NY

09/24/2009 - 08/30/2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 12/01/2009

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/22/2011

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 09/23/2009

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Peter Neil Dorfman.
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