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PETER VINCENT SMITH SR
PETER VINCENT SMITH
CRD#: 872534
IA
B
WELLS FARGO ADVISORSCRD#: 19616 NAPLES, FL
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6/21/2011
Regulatory
Final
State Registrations
B
California 8/5/2000
B
New York 8/5/2000
B
Connecticut 8/5/2000
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New York 8/28/2021
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District of Columbia 8/5/2000
B
North Carolina 1/14/2004
B
Florida 8/5/2000
B
Ohio 1/6/2014
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Florida 6/21/2011
B
Oregon 5/12/2005
B
Georgia 8/5/2000
B
Pennsylvania 8/5/2000
B
Illinois 1/8/2004
B
Tennessee 11/22/2016
B
Maryland 11/18/2015
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Texas 3/3/2014
B
Massachusetts 12/19/2022
B
Texas 3/28/2014
B
Missouri 8/5/2000
B
Virginia 9/1/2000
B
New Hampshire 8/5/2000
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Virginia 11/11/2008
B
New Jersey 8/5/2000
B
Washington 8/5/2000
SRO Registrations
B
B
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B
B
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IA
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/17/1984 - 08/05/2000 | NEW YORK, NY | |
B | 09/06/1983 - 03/08/1984 | ||
B | 10/02/1979 - 07/18/1983 |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.