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PETER KURT FREDERICK
CRD#: 2116821
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 400 CAPITOL MALL STE 1700
SACRAMENTO, CA 95814
Registration History
19952000200520102015202020252 FIRMS1991 - 1991 (<1 year)2 FIRMS1993 - 1994 (<1 year)2 FIRMS2009 - 2013 (3 years)2 FIRMS2013 - Present (12 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1995 - 2009 (14 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1993 - 1995 (1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1992 - 1993 (1 year)BKEMPER SECURITIES GROUP, INC. (CRD# 19616)1991 - 1992 (<1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1997 - 2009 (11 years)
Disclosure(s)
View By:
11/13/2000
Customer Dispute
Settled
9/30/1998
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
California 1/14/2013

B
Missouri 6/22/2016

IA
California 1/14/2013

B
Nebraska 4/7/2016

B
Colorado 1/14/2013

B
Nevada 1/14/2013

B
Delaware 7/8/2020

B
New York 8/10/2022

B
District of Columbia 4/7/2016

B
Oregon 1/14/2013

B
Florida 4/7/2016

B
Pennsylvania 1/14/2013

B
Hawaii 10/14/2015

B
Tennessee 10/31/2018

B
Idaho 10/4/2022

B
Texas 1/4/2021

B
Illinois 1/14/2013

IA
Texas 1/5/2021

B
Indiana 7/29/2021

B
Vermont 9/18/2023

B
Maryland 1/14/2013

B
Virginia 3/25/2014

B
Mississippi 1/14/2013

B
Washington 4/7/2016

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)
400 CAPITOL MALL STE 1700, SACRAMENTO, CA 95814
EL DORADO HILLS, CA
Registered with this firm since 1/14/2013

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
400 CAPITOL MALL STE 1700, SACRAMENTO, CA 95814
EL DORADO HILLS, CA
Registered with this firm since 1/14/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/01/2009 - 02/07/2013 MORGAN STANLEY (CRD#:149777) SACRAMENTO, CA
B
06/01/2009 - 02/07/2013 MORGAN STANLEY (CRD#:149777) SACRAMENTO, CA
IA
07/08/1997 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SACRAMENTO, CA
B
05/04/1995 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SACRAMENTO, CA
B
12/04/1993 - 07/17/1995 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
06/02/1993 - 03/05/1994 JOHN HANCOCK DISTRIBUTORS, INC. (CRD#:468) BOSTON, MA
B
06/02/1993 - 03/05/1994 JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (CRD#:5181) BOSTON, MA
B
05/12/1992 - 05/11/1993 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
09/25/1991 - 06/02/1992 KEMPER SECURITIES GROUP, INC. (CRD#:19616) ST. LOUIS, MO
B
03/11/1991 - 09/12/1991 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
03/11/1991 - 09/12/1991 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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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.