Individual Firm
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JOHN WINDHAM PETERSON
CRD#: 2271496
IA
B
WELLS FARGO ADVISORSCRD#: 11025 701 LAKE STREET E STE 200
[SATELLITE]
WAYZATA, MN 55391
[SATELLITE]
WAYZATA, MN 55391
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1/28/2009
Customer Dispute
Denied
5/15/2001
Customer Dispute
Denied
State Registrations
B
Arizona 2/25/2022
B
Minnesota 3/10/2022
B
California 2/25/2022
B
Montana 2/28/2022
B
Colorado 3/11/2022
B
Nebraska 2/25/2022
B
District of Columbia 2/25/2022
B
New York 2/25/2022
B
Florida 2/25/2022
B
North Carolina 2/25/2022
B
Georgia 2/25/2022
B
Texas 2/25/2022
B
Illinois 3/11/2022
IA
Texas 2/25/2022
B
Massachusetts 3/25/2022
B
Wisconsin 2/25/2022
IA
Minnesota 2/25/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 2/25/2022
B
Registered with this firm since 2/25/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/05/2014 - 03/09/2022 | Wayzata, MN | |
B | 06/01/2009 - 03/09/2022 | Wayzata, MN | |
B | 03/17/2006 - 06/01/2009 | WAYZATA, MN | |
B | 05/30/2003 - 03/21/2006 | PURCHASE, NY | |
IA | 05/02/2001 - 06/26/2003 | WAYZATA, MN | |
B | 08/27/1999 - 06/26/2003 | WEEHAWKEN, NJ | |
B | 09/17/1992 - 09/21/1999 | PURCHASE, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.