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PETER LEE WALDRON
CRD#: 4230510
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 400 SPECTRUM CENTER DR STE 2160
IRVINE, CA 92618
Registration History
19952000200520102015202020252 FIRMS2005 - 2009 (3 years)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2011 (2 years)2 FIRMS2011 - 2022 (10 years)2 FIRMS2022 - Present (2 years)BWMA SECURITIES, INC. (CRD# 32625)2000 - 2001 (1 year)
Disclosure(s)
View By:
11/14/2024
Customer Dispute
Pending
8/19/1994
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 3/29/2022

B
New Jersey 3/29/2022

B
California 3/29/2022

B
New York 3/29/2022

IA
California 3/30/2022

B
North Carolina 3/29/2022

B
Colorado 3/29/2022

B
Oregon 3/29/2022

B
Florida 3/29/2022

B
Tennessee 3/29/2022

B
Georgia 3/29/2022

B
Texas 3/29/2022

B
Hawaii 3/29/2022

IA
Texas 3/29/2022

B
Idaho 3/29/2022

B
Utah 3/29/2022

B
Michigan 11/15/2024

B
Washington 3/29/2022

B
Montana 9/18/2023

B
West Virginia 3/29/2022

B
Nevada 3/29/2022

B
Wisconsin 11/14/2024

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, 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 SPECTRUM CENTER DR STE 2160, IRVINE, CA 92618
Registered with this firm since 3/29/2022

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
400 SPECTRUM CENTER DR STE 2160, IRVINE, CA 92618
Registered with this firm since 3/29/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/27/2011 - 04/14/2022 UBS FINANCIAL SERVICES INC. (CRD#:8174) BREA, CA
B
10/27/2011 - 04/14/2022 UBS FINANCIAL SERVICES INC. (CRD#:8174) BREA, CA
IA
06/01/2009 - 11/07/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) SAN DIEGO, CA
B
06/01/2009 - 11/07/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) SAN DIEGO, CA
IA
01/26/2009 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) TEMECULA, CA
B
01/23/2009 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) TEMECULA, CA
IA
12/13/2005 - 01/27/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) TEMECULA, CA
B
11/07/2005 - 01/27/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) TEMECULA, CA
B
07/25/2000 - 07/06/2001 WMA SECURITIES, INC. (CRD#:32625) DULUTH, GA
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Broker
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Investment Adviser
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.