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Detailed Report
WILLIAM PETER ZAIMES
WILLIAM PETER ZAIMES SR
CRD#: 1859348
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 235 FAIR ST
KINGSTON, NY 12401
Registration History
199019952000200520102015202020252 FIRMS2004 - 2009 (5 years)2 FIRMS2009 - 2011 (1 year)2 FIRMS2011 - Present (14 years)BQUICK & REILLY, INC. (CRD# 11217)2000 - 2004 (4 years)BFLEET ENTERPRISES, INC. (CRD# 17434)1999 - 2000 (1 year)BFIS SECURITIES, INC. (CRD# 30533)1997 - 2000 (2 years)BPRUCO SECURITIES CORPORATION (CRD# 5685)1988 - 1997 (9 years)BTHE PRUDENTIAL INSURANCE COMPA... (CRD# 680)1988 - 1993 (5 years)IAQUICK & REILLY, INC. (CRD# 11217)2002 - 2004 (1 year)
Disclosure(s)
View By:
1/21/2010
Customer Dispute
Settled
8/6/2008
Customer Dispute
Settled
7/17/2002
Customer Dispute
Settled
10/3/2000
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Arizona 11/4/2016
IA
New York 7/27/2021
B
California 4/1/2011
B
North Carolina 4/1/2011
B
Connecticut 2/6/2020
B
Pennsylvania 4/1/2011
B
Florida 3/30/2011
B
Puerto Rico 12/5/2023
B
New Hampshire 1/11/2024
B
Rhode Island 11/27/2020
B
New Jersey 3/30/2011
B
South Carolina 9/19/2024
IA
New Jersey 3/30/2011
B
Tennessee 1/23/2024
B
New York 3/30/2011
B
Virginia 2/25/2019

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
235 FAIR ST, KINGSTON, NY 12401
43 N PLANK RD, NEWBURGH, NY 12550
Registered with this firm since 3/30/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
235 FAIR ST, KINGSTON, NY 12401
43 N PLANK RD, NEWBURGH, NY 12550
Registered with this firm since 3/30/2011
Previous Registration(s)
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IA
 10/23/2009 - 04/01/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MIDDLETOWN, NY
B
 10/23/2009 - 04/01/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MIDDLETOWN, NY
IA
 10/20/2004 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) NEWBURGH, NY
B
 10/20/2004 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) NEWBURGH, NY
IA
 12/06/2002 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) POUGHKEEPSIE, NY
B
 09/25/2000 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
B
 11/12/1999 - 11/03/2000 FLEET ENTERPRISES, INC. (CRD#:17434) NEW YORK, NY
B
 11/25/1997 - 09/25/2000 FIS SECURITIES, INC. (CRD#:30533) BOSTON, MA
B
 09/22/1988 - 12/10/1997 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
B
 09/22/1988 - 12/10/1993 THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (CRD#:680) NEWARK, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.