Peter Wegmann
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Peter Wegmann, who also goes by Peter Frederick Wegmann Jr, Peter Frederick Wegmann, Peter Wegmann, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1990. Peter had worked at 10 firms and has passed the Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2020 - August 15, 2022
ALLSTATE FINANCIAL SERVICES, LLC
August 18, 2014 - April 16, 2015
NEXT FINANCIAL GROUP, INC.
January 4, 2012 - December 19, 2012
KESTRA INVESTMENT SERVICES, LLC
November 9, 2010 - April 5, 2011
HARBOUR INVESTMENTS, INC.
July 7, 2010 - November 16, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 10, 2009 - March 1, 2010
ALLSTATE FINANCIAL SERVICES, LLC
May 16, 2007 - May 4, 2009
U.S. BANCORP INVESTMENTS, INC.
December 7, 2001 - May 17, 2007
DFC INVESTOR SERVICES
December 18, 2000 - December 11, 2001
USALLIANZ SECURITIES, INC.
July 25, 1997 - December 31, 1998
FREDERICK & COMPANY, INC.
April 24, 1990 - July 22, 1997
ROBERT W. BAIRD & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 7/27/2020
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
