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TONY ZIYI PENG
ZIYI PENG, Tony Ziyi Peng, Tony Peng
CRD#: 6056501
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1499 N MAIN ST
WALNUT CREEK, CA 94596
Registration History
201220142016201820202022202420262 FIRMS2013 - 2018 (4 years)2 FIRMS2018 - 2020 (2 years)2 FIRMS2020 - 2023 (2 years)2 FIRMS2023 - Present (1 year)BNEW ENGLAND SECURITIES (CRD# 615)2012 - 2013 (1 year)IANEW ENGLAND SECURITIES CORPORATION (CRD# 615)2013 - 2013 (<1 year)
License(s)

State Registrations

B
California 7/27/2023

IA
New Jersey 7/28/2023

IA
California 7/28/2023

B
New York 7/27/2023

B
Illinois 7/27/2023

IA
New York 7/27/2023

IA
Illinois 7/27/2023

B
Texas 7/27/2023

B
Minnesota 6/20/2024

IA
Texas 7/27/2023

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)
1499 N MAIN ST, WALNUT CREEK, CA 94596
Registered with this firm since 7/27/2023

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1499 N MAIN ST, WALNUT CREEK, CA 94596
Registered with this firm since 7/27/2023

Previous Registration(s)
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IA
08/21/2020 - 07/31/2023 HSBC SECURITIES (USA) INC. (CRD#:19585) Chicago, IL
B
08/21/2020 - 07/31/2023 HSBC SECURITIES (USA) INC. (CRD#:19585) Chicago, IL
IA
03/14/2018 - 07/31/2020 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) CHICAGO, IL
B
03/14/2018 - 07/31/2020 CETERA INVESTMENT SERVICES LLC (CRD#:15340) CHICAGO, IL
IA
06/21/2013 - 03/12/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) DEERFIELD, IL
B
06/21/2013 - 03/12/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) DEERFIELD, IL
IA
03/07/2013 - 06/19/2013 NEW ENGLAND SECURITIES CORPORATION (CRD#:615) NORTHBROOK, IL
B
06/13/2012 - 06/19/2013 NEW ENGLAND SECURITIES (CRD#:615) NORTHBROOK, IL
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B
Broker
IA
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.