Peter L. Apuzzo
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 Louis Apuzzo was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1976. Peter had worked at 7 firms and has passed the Series 63, SIE and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2003 - April 24, 2019
WELLS FARGO SECURITIES, LLC
April 1, 2002 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - August 29, 2000
WELLS FARGO CLEARING SERVICES, LLC
May 18, 1998 - April 5, 1999
JACKSON SECURITIES LLC
June 7, 1995 - March 4, 1998
JACKSON SECURITIES LLC
January 1, 1991 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
August 25, 1986 - January 1, 1991
BUTCHER & SINGER INC.
April 21, 1980 - August 19, 1986
A. WEBSTER DOUGHERTY & CO., INCORPORATED
October 1, 1976 - March 30, 1981
J. H. WAGNER & CO. INC.
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
Current Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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