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PV

Peter E. Vallejo

Some features on this profile are disabled
CRD#: 4086813
PV

Professional summary

Peter Edward Vallejo was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Peter is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Peter had worked at 6 firms, which includes WELLS FARGO INVESTMENTS LLC, CHASE INVESTMENT SERVICES CORP., BANC ONE SECURITIES CORPORATION, VOYA INVESTMENTS DISTRIBUTOR LLC, IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 27, 2007 - April 28, 2008

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
PHOENIX, AZ
Past

September 18, 2007 - April 28, 2008

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
PHOENIX, AZ
Past

September 6, 2007 - September 17, 2007

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
PHOENIX, AZ
Past

July 6, 2005 - September 17, 2007

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
PHOENIX, AZ
Past

March 12, 2004 - July 6, 2005

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

March 6, 2000 - March 18, 2004

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD
CRD#: 37886
WINDSOR, CT
Past

January 17, 2000 - March 22, 2000

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

January 17, 2000 - March 22, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/20/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/3/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/13/2000
General Securities Representative Examination

Current Firm

WF
WELLS FARGO INVESTMENTS, LLC
CABLE, HOWSE & RAGEN | WELLS FARO INVESTMENTS, LLC | WELLS FARGO INVESTMENTS, LLC DBA WELLS FARGO VAN KASPER | WELLS FARGO INVESTMENTS, LLC DBA RAGEN MACKENZIE | WELLS FARGO INVESTMENTS, LLC | WELLS FARGO INVESTMENT, LLC | WELLS FARGO ADVISORS | RAGEN MACKENZIE INCORPORATED | RAGEN MACKENZIE | CABLE, HOWSE & RAGEN INCORPORATED

CRD#: 10582 / SEC#: , 8-38588

BD
Terminated by SEC on 03/28/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 10/11/2000
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WELLS FARGO INVESTMENT GROUP, INC.DIRECT OWNER
AMADOR, LISA ANNECHIEF COMPLIANCE OFFICER, DIRECTOR, SECRETARY1336656
BENSUSSEN, VICTOR LAWRENCEDIRECTOR/TREASURER & CFO1523151
CAMERANESI, KENNETH STEVENDIRECTOR1292159
DAGGS, CHARLES WILLARD IIICHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR59782
GRANGER, CLIFF GEVANAML COMPLIANCE OFFICER4787929
PERKEL, RACHEL KENYONDIRECTOR2445943
WELKER, JAY SCOTTCHAIRMAN & DIRECTOR2869678
YERSIN, LINCOLN BLAINEDIRECTOR1715424

Disclosures

Regulatory Event53
Arbitration33

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

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