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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peter? Claim Your ProfilePeter Caruso is a financial advisor with Wells Fargo Clearing Services, LLC. Peter is a registered representative and investment advisor. Peter has been in the industry since 1992. Peter has experience working with individuals, businesses, pension and profit sharing plans, charitable organizations, and insurance companies. Peter holds Series 7, 31, 63, and 65 licenses and a SIE designation.
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
MA
05/03/2010 - Present
Wells Fargo Clearing Services, LLC (WORCESTER MA)
MA
02/21/2006 - 02/02/2009
CITIGROUP GLOBAL MARKETS INC. (WORCESTER MA)
MD
11/01/1996 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
09/21/1992 - 11/06/1996
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 03/16/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/23/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/05/1993
Series 31 - Futures Managed Funds Examination
BC
Issued 09/18/1992
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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