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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

PETER LEE WALDRON

Advisor at WELLS FARGO ADVISORS

IRVINE, CA

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Search this name across graphsid dfx:ria:682d98dc-c04b-d642-2ab9-322f546808cf

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Dec 13, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 26, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Jul 26, 2000
First registration: Dec 13, 2005
Dual registered: yes, broker-dealer
IAPD individual key: 4230510

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Mar 30, 2022	n/a	yes	IRVINE, CA	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Oct 27, 2011	Apr 14, 2022	no	IRVINE, CA\|Redlands, CA\|IRVINE, CA\|BREA, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Nov 7, 2011	no	TEMECULA, CA\|San Diego, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Jan 26, 2009	Jun 1, 2009	no	TEMECULA, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Dec 13, 2005	Jan 27, 2009	no	TEMECULA, CA\|TEMECULA, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
UBS FINANCIAL SERVICES INC.	WELLS FARGO ADVISORS	Apr 14, 2022	Mar 30, 2022	-15	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Nov 7, 2011	Oct 27, 2011	-11	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY & CO. LLC	Jan 27, 2009	Jan 26, 2009	-1	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
8174:19616:CA:2022-04-14	Apr 14, 2022	Mar 30, 2022	BREA, CA	Firm change

Relationships

Registered with (5)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Mar 30, 2022 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Oct 27, 2011 to Apr 14, 2022factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Nov 7, 2011factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Jan 26, 2009 to Jun 1, 2009factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Dec 13, 2005 to Jan 27, 2009factForm ADV

Dated events

Occurred
Apr 14, 2022
Advisor changed firm
Peter Lee Waldron left Ubs Financial Services Inc. for Wells Fargo Advisors (registered 2022-03-30)
Form ADVobserved 5 days ago