Peter Frank Valdez

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
NY	RA	APPROVED	2021-07-27
TX	RA	APPROVED_RES	2018-01-12
CT	RA	APPROVED	2004-03-04

NY RA
APPROVED

Since 2021-07-27
TX RA
APPROVED_RES

Since 2018-01-12
CT RA
APPROVED

Since 2004-03-04

Branch Locations

1098 Main St, Fishkill, NY 12524 • United States

1863 South Rd, Wappingers Falls, NY 12590 • United States

767 5Th Ave 33Rd Fl [Y5-Rbo], New York, NY 10153 • 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	Wappingers Falls	NY	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Wappingers Falls	NY	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Wappingers Falls, NY
11/2016 → Present

Wells Fargo Clearing Services, Llc

Wappingers Falls, NY

Other Businesses

ARLINGTON FIRE DISTRICT BOARD OF FIRE COMMISSIONERS; NOT INV. RELATED; POUGHKEEPSIE, NY; BOARD MEMBER; START DATE 1/2018; 4 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES: PROVIDE FIRE PROTECTIONS, ANNUAL BUDGET, BUY FIRE EQUIPMENT, APPROVE VOLUNTEERS. WAPPINGERS CENTRAL SCHOOL DISTRICT BOARD OF EDUCATION; NOT INV. RELATED; HOPEWELL JCT, NY; BOARD MEMBER; START DATE 6/2020; 10 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES: ATTEND MEETINGS, CREAT SHARED VISION FOR FUTUR EDUCATION, SET DIRECTION OF SCHOOL DISTRICT, DEVELOP A BUDGET, ETC.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2004-03-03
S63	Uniform Securities Agent State Law Examination	1987-10-16

S65 Uniform Investment Adviser Law Examination

2004-03-03
S63 Uniform Securities Agent State Law Examination

1987-10-16

Other Names

Peter Valdez

View on SEC IAPD