Peter C. Hall
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 Campbell Hall, who also goes by Petr Campbell Hall, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1979. Peter had worked at 13 firms and has passed the Series 63, SIE, Series 31, Series 7 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2011 - January 5, 2017
WELLS FARGO CLEARING SERVICES, LLC
August 5, 2011 - January 5, 2017
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2009 - August 15, 2011
MORGAN STANLEY
June 1, 2009 - August 15, 2011
MORGAN STANLEY
September 5, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
September 5, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
October 22, 2003 - September 19, 2007
UBS FINANCIAL SERVICES INC.
October 3, 2003 - September 19, 2007
UBS FINANCIAL SERVICES INC.
December 1, 1994 - October 16, 2003
M.L. STERN & CO., LLC.
October 26, 1994 - February 10, 1995
SOUTHERN CALIFORNIA SECURITIES, INC.
July 6, 1989 - October 12, 1989
J. B. HANAUER & CO.
January 27, 1989 - April 12, 1989
LEHMAN BROTHERS INC.
August 12, 1988 - March 27, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 13, 1986 - August 16, 1988
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
September 17, 1986 - December 2, 1986
PRUDENTIAL EQUITY GROUP, LLC
March 27, 1984 - October 10, 1986
CITIGROUP GLOBAL MARKETS INC.
September 10, 1981 - May 17, 1984
LEHMAN BROTHERS INC.
December 26, 1979 - July 26, 1981
MUNICICORP OF CALIFORNIA
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 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent 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.
