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Current Employers
Wells Fargo Clearing Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
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
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Walnut Creek CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Walnut Creek CA 11/2016 Present
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
CodeExamDate
S66 Uniform Combined State Law Examination 2001-09-21
  • S66 Uniform Combined State Law Examination
    2001-09-21
Designations
Other Names
  • Steve Peltz
  • Steve Peltz
  • Steven R. Peltz

View on SEC IAPD

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