Steven Randall Peltz

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2017-05-12
CA	RA	APPROVED	2007-01-05

TX RA
APPROVED

Since 2017-05-12
CA RA
APPROVED

Since 2007-01-05

Branch Locations

2033 N Main St Ste 800, Walnut Creek, CA 94596 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Walnut Creek	CA	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Walnut Creek	CA	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Walnut Creek, CA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Walnut Creek, CA

Previous Registrations

2002-03-04 → 2007-01-08

Morgan Stanley Dw Inc.

Concord, CA

Concord, CA

Other Businesses

CAYO MUSTANG SOCCER LEAGUE; NOT INVESTMENT RELATED; SOCCER/LEISURE; YOUTH SOCCER COACH; START 4/1/2013; 20 HOURS DEVOTED PER MONTH; NONE DURING TRADING HOURS.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-09-21

S66 Uniform Combined State Law Examination

2001-09-21

Designations

Certified Financial Planner

Other Names

Steve Peltz
Steve Peltz
Steven R. Peltz

View on SEC IAPD