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Detailed Report
KRISTIN M ARENA
KRISTIN MARIE PETERSON, KRISTIN PETERSON
CRD#: 5030065
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 15801 BRIXHAM HILL AVE
STE 100
CHARLOTTE, NC 28277
Registration History
2010201220142016201820202022202420262 FIRMS2012 - 2018 (6 years)2 FIRMS2018 - Present (6 years)BCREDIT SUISSE SECURITIES (USA) LLC (CRD# 816)2010 - 2012 (1 year)IACREDIT SUISSE SECURITIES (USA) LLC (CRD# 816)2011 - 2012 (<1 year)
License(s)

State Registrations

B
Alabama 9/20/2018
B
Nevada 8/9/2024
B
Arizona 9/20/2018
B
New Hampshire 6/14/2019
B
Arkansas 4/28/2023
B
New Jersey 9/14/2018
B
California 9/14/2018
B
New Mexico 8/5/2024
B
Colorado 9/20/2018
B
New York 9/14/2018
B
Connecticut 9/14/2018
B
North Carolina 9/14/2018
IA
Connecticut 9/14/2018
IA
North Carolina 9/17/2018
B
District of Columbia 10/3/2018
B
Ohio 9/21/2018
B
Florida 9/14/2018
B
Oklahoma 6/14/2019
B
Georgia 9/20/2018
B
Oregon 9/14/2018
B
Illinois 9/20/2018
B
Pennsylvania 9/14/2018
B
Kansas 6/14/2019
B
South Carolina 9/20/2018
B
Kentucky 9/20/2018
B
Tennessee 9/20/2018
B
Louisiana 6/14/2019
B
Texas 9/20/2018
B
Maryland 9/20/2018
IA
Texas 9/21/2018
B
Massachusetts 9/20/2018
B
Utah 9/20/2018
B
Michigan 8/28/2019
B
Virginia 9/20/2018
B
Missouri 5/30/2023
B
Washington 6/14/2019
B
Montana 8/14/2020
B
Wisconsin 8/13/2024
B
Nebraska 6/29/2021
B
Wyoming 4/4/2023

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)
15801 BRIXHAM HILL AVE STE 100, CHARLOTTE, NC 28277
Registered with this firm since 9/14/2018
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
15801 BRIXHAM HILL AVE STE 100, CHARLOTTE, NC 28277
Registered with this firm since 9/14/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/04/2012 - 09/11/2018 UBS FINANCIAL SERVICES INC. (CRD#:8174) NEW YORK, NY
B
 05/04/2012 - 09/11/2018 UBS FINANCIAL SERVICES INC. (CRD#:8174) NEW YORK, NY
IA
 12/13/2011 - 05/25/2012 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) GREENWICH, CT
B
 07/15/2010 - 05/25/2012 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) GREENWICH, CT
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.