Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
PETER VINCENT ALLEN SR
CRD#: 1915254
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1605 MAIN ST
12TH & 14TH FLS
SARASOTA, FL 34236
Registration History
199019952000200520102015202020252 FIRMS1992 - 2009 (16 years)2 FIRMS2009 - 2014 (5 years)2 FIRMS2014 - Present (10 years)BLEHMAN BROTHERS INC. (CRD# 7506)1989 - 1992 (3 years)
Disclosure(s)
View By:
5/17/2001
Customer Dispute
Denied
9/1/1999
Customer Dispute
Denied
License(s)

State Registrations

B
California 7/17/2019
B
Missouri 4/26/2022
B
Colorado 6/8/2018
B
New Jersey 11/6/2014
B
Connecticut 9/20/2021
B
New Mexico 11/6/2014
B
District of Columbia 7/23/2021
B
New York 11/6/2014
B
Florida 11/6/2014
B
Oregon 1/30/2023
IA
Florida 11/10/2014
B
Pennsylvania 11/6/2014
B
Georgia 11/6/2014
B
South Carolina 2/7/2020
B
Illinois 11/6/2014
B
South Dakota 5/3/2023
B
Indiana 11/24/2014
B
Texas 11/6/2014
B
Iowa 5/17/2022
IA
Texas 11/6/2014
B
Louisiana 8/14/2019
B
Virginia 11/6/2014
B
Maryland 11/6/2014
B
Washington 5/5/2022
B
Massachusetts 11/10/2014
B
Wisconsin 11/6/2014

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)
1605 MAIN ST 12TH & 14TH FLS, SARASOTA, FL 34236
Registered with this firm since 11/6/2014
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1605 MAIN ST 12TH & 14TH FLS, SARASOTA, FL 34236
Registered with this firm since 11/6/2014
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/05/2009 - 11/14/2014 UBS FINANCIAL SERVICES INC. (CRD#:8174) SARASOTA, FL
B
 04/23/2009 - 11/14/2014 UBS FINANCIAL SERVICES INC. (CRD#:8174) SARASOTA, FL
IA
 10/27/1992 - 05/14/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SARASOTA, FL
B
 10/20/1992 - 05/14/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SARASOTA, FL
B
 01/25/1989 - 10/19/1992 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
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.