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Detailed Report
MATTHEW RICHARD PETERSON
MATT PETERSON
CRD#: 6311997
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 4165 E WILDCAT RESERVE PKWY
HIGHLANDS RANCH, CO 80126
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2014 - Present (10 years)
Disclosure(s)
View By:
11/11/2023
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 8/3/2020
B
Michigan 10/21/2020
B
Arizona 5/17/2019
B
Missouri 5/12/2020
B
Arkansas 2/2/2023
B
Montana 2/2/2023
B
California 5/30/2014
B
Nebraska 4/25/2022
B
Colorado 5/9/2014
B
Nevada 3/30/2022
IA
Colorado 5/30/2014
B
New York 7/6/2020
B
Florida 2/7/2019
B
North Carolina 5/10/2019
B
Georgia 2/2/2023
B
Pennsylvania 4/24/2020
B
Hawaii 2/2/2023
B
South Carolina 6/10/2020
B
Indiana 2/2/2023
B
Texas 10/29/2015
B
Iowa 8/19/2021
IA
Texas 10/29/2015
B
Kansas 10/29/2020
B
Utah 2/2/2023
B
Maryland 7/9/2020
B
Washington 9/22/2020
B
Massachusetts 2/2/2023
B
Wyoming 2/2/2023

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)
4165 E WILDCAT RESERVE PKWY, HIGHLANDS RANCH, CO 80126
Registered with this firm since 5/30/2014
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
4165 E WILDCAT RESERVE PKWY, HIGHLANDS RANCH, CO 80126
Registered with this firm since 5/9/2014
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.