Peter D. Greeley
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 Daniel Greeley, who also goes by Peter Daniel Greeley, Peter Greeley, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1982. Peter had worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 2022 - May 22, 2023
WELLS FARGO CLEARING SERVICES, LLC
May 25, 2022 - May 22, 2023
WELLS FARGO CLEARING SERVICES, LLC
August 26, 2020 - April 6, 2021
PAULSON INVESTMENT ADVISORS, LLC
August 11, 2020 - April 6, 2021
PAULSON INVESTMENT COMPANY LLC
February 7, 2020 - July 10, 2020
MML INVESTORS SERVICES, LLC
February 4, 2020 - July 10, 2020
MML INVESTORS SERVICES, LLC
September 8, 2017 - February 23, 2018
EQUITABLE ADVISORS, LLC
June 27, 2017 - February 23, 2018
EQUITABLE ADVISORS, LLC
August 19, 2014 - July 20, 2015
DISCERN SECURITIES, INC.
April 10, 2001 - July 1, 2013
CITIZENS JMP SECURITIES, LLC
June 4, 1998 - August 22, 2000
PREFERREDTRADE, INC.
October 8, 1992 - April 2, 1998
PACIFIC GROWTH EQUITIES, LLC
September 18, 1991 - July 14, 1992
CREDIT AGRICOLE SECURITIES (USA) INC.
February 26, 1991 - September 17, 1991
EXETER, LTD.
April 11, 1990 - January 1, 1991
CREDIT AGRICOLE SECURITIES (USA) INC.
January 14, 1987 - August 16, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
June 6, 1984 - November 10, 1986
WACHOVIA SECURITIES, INC.
June 1, 1984 - July 10, 1984
UBS FINANCIAL SERVICES INC.
March 28, 1983 - June 4, 1984
UBS ASSET MANAGEMENT (US) INC.
January 11, 1982 - October 5, 1982
CIBC WOOD GUNDY SECURITIES CORP.
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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 1
Date: 12/13/1979
Registered Representative ExaminationSeries 8
Date: 3/5/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
