Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
PETER FREDERICK BAUER
CRD#: 814456
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 333 S IL ROUTE 83
ELMHURST, IL 60126
Registration History
197519801985199019952000200520102015202020252 FIRMS1998 - 2009 (11 years)2 FIRMS2009 - Present (16 years)BINVESTMENT MANAGEMENT & RESEAR... (CRD# 6694)1994 - 1998 (4 years)BTERRA SECURITIES CORPORATION (CRD# 10358)1994 - 1994 (<1 year)BTRI-MERICA SECURITIES CORPORATION (CRD# 14081)1993 - 1994 (<1 year)BFIRST CHICAGO INVESTMENT SERVI... (CRD# 17516)1992 - 1993 (1 year)BGARY-WHEATON INVESTMENT SERVIC... (CRD# 17080)1986 - 1992 (6 years)BWAYNE HUMMER & CO. (CRD# 875)1975 - 1981 (6 years)IAWOLF FINANCIAL MANAGEMENT, LLC (CRD# 110977)1998 - 2007 (9 years)
Disclosure(s)
View By:
2/29/2016
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 1/19/2010
B
Michigan 4/21/2009
B
Alaska 10/29/2021
B
North Carolina 3/31/2014
B
Arizona 7/13/2017
B
Ohio 7/13/2017
B
California 4/21/2009
B
Pennsylvania 5/19/2021
B
Colorado 10/1/2019
B
Tennessee 1/27/2021
B
Florida 4/21/2009
B
Texas 11/16/2015
B
Hawaii 10/29/2021
IA
Texas 11/16/2015
B
Illinois 4/21/2009
B
Utah 12/5/2024
IA
Illinois 4/21/2009
B
Washington 4/21/2009
B
Indiana 6/10/2014
B
Wisconsin 6/7/2010
B
Louisiana 11/9/2018

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)
333 S IL ROUTE 83, ELMHURST, IL 60126
Registered with this firm since 4/21/2009
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
333 S IL ROUTE 83, ELMHURST, IL 60126
Registered with this firm since 4/21/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/18/1998 - 04/07/2009 WOLF FINANCIAL MANAGEMENT, LLC (CRD#:44225) OAK BROOK, IL
B
 04/14/1998 - 04/07/2009 WOLF FINANCIAL MANAGEMENT, LLC (CRD#:44225) OAK BROOK, IL
IA
 05/03/1998 - 12/31/2007 WOLF FINANCIAL MANAGEMENT, LLC (CRD#:110977) OAK BROOK, IL
B
 05/05/1994 - 06/03/1998 INVESTMENT MANAGEMENT & RESEARCH, INC (CRD#:6694) ST. PETERSBURG, FL
B
 02/01/1994 - 05/10/1994 TERRA SECURITIES CORPORATION (CRD#:10358) SCHAUMBURG, IL
B
 04/27/1993 - 01/31/1994 TRI-MERICA SECURITIES CORPORATION (CRD#:14081) TINLEY PARK, IL
B
 03/05/1992 - 04/23/1993 FIRST CHICAGO INVESTMENT SERVICES, INC. (CRD#:17516) CHICAGO, IL
B
 01/30/1986 - 02/19/1992 GARY-WHEATON INVESTMENT SERVICES, INC. (CRD#:17080)
B
 11/01/1975 - 11/06/1981 WAYNE HUMMER & CO. (CRD#:875)
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.