Richard Leon Pecce

Current Employers

Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2019-06-28
OH	RA	APPROVED	2019-04-29

TX RA
APPROVED_RES

Since 2019-06-28
OH RA
APPROVED

Since 2019-04-29

Branch Locations

7887 Washington Village Drive Suite 100, Centerville, OH 45459 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Centerville	OH	06/2009	11/2016
Wells Fargo Clearing Services, Llc	Centerville	OH	11/2016	04/2019
Raymond James & Associates	Centerville	OH	04/2019	Present

06/2009 → 11/2016

Wells Fargo Advisors Llc

Centerville, OH
11/2016 → 04/2019

Wells Fargo Clearing Services, Llc

Centerville, OH
04/2019 → Present

Raymond James & Associates

Centerville, OH

Previous Registrations

2009-06-16 → 2019-05-06

Wells Fargo Clearing Services, Llc

Miamisburg, OH
2002-02-15 → 2009-06-17

Stifel, Nicolaus & Company, Incorporated

Miamisburg, OH

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-09
S63	Uniform Securities Agent State Law Examination	1988-03-11

S65 Uniform Investment Adviser Law Examination

1999-12-09
S63 Uniform Securities Agent State Law Examination

1988-03-11

Other Names

Richard Lee Pecce
Richard Leon Pecce
Rich Pecce
Dick Pecce
Lee Pecce

View on SEC IAPD