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Peter Waldron Review

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Peter Waldron, based in Irvine, CA, is an Investment Advisor and a Broker (Dually Registered) with 15 years of experience. Peter is registered with UBS Financial Services, which provides investment advisory services for 994,585 clients.



Registration Questions


After checking the registration records of Peter Waldron, our system has identified the following question(s) to ask. Learn more.

announcement Why did you become a Dually Registered advisor instead of a standalone Investment Advisor? How will I know when you are acting in a fiduciary capacity versus as a salesperson?

Why ask? There are three types of financial advisors: Investment Advisors, Brokers, and Dually Registered professionals (advisors who operate as both a broker and an investment advisor). Financial professionals who practice solely as an Investment Advisor are considered true fiduciaries, just like doctors or lawyers, and have fewer conflicts of interest. 99.2% of all financial advisors barred from the industry have been either a broker or dually registered advisor. Learn more.

Our system found no other registration questions to ask. Checks take place monthly.


Regulatory Questions


After checking the regulatory records of Peter Waldron, our system has identified the following question(s) to ask. Learn more.

announcement You have had 1 Criminal Disclosure(s) on your U4. What happened? When? (Source: FINRA, SEC)


Our system found no other regulatory questions to ask. Checks take place monthly.

Next Step: Don’t forget! View the UBS Financial Services profile(s) for more questions to ask.



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Professional Summary


Peter Waldron is is a Dually Registered registered with UBS Financial Services. There are three types of financial advisors: Investment Advisors, Brokers, and Dually Registered professionals (advisors who operate as both a broker and an investment advisor).

Financial advisors who practice solely as an Investment Advisor are considered true fiduciaries, just like doctors or lawyers, and have fewer conflicts of interest. 99.2% of all financial advisors barred from the industry have been either a broker or dually registered advisor. Learn more.


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Financial Advisor Value
First Name Peter
Last Name Waldron
Type Dually Registered
Education Ask advisor
FINRA Active Yes (View Finra BrokerCheck CRD#4230510)
SEC Active Yes (View SEC IAPD CRD#4230510)
Office Address 20 Pacifica, 20 Pacifica, Irvine, CA 92618

Personal Bio


Financial professional has not provided a personal bio.



Compensation Options Result
% Assets Ask Advisor
Fixed Ask Advisor
Hourly Ask Advisor
Commissions Ask Advisor

Certifications


Financial professional has not provided their certifications (e.g., CFP, CFA).




Regulatory History


Form U4 filings contain a list of valuable disclosures that are relevant for Americans. Based on the most recent filing of Peter Waldron, investor.com identified the following regulatory disclosures.

Disclosure Result
Customer Disputes None
Terminations None
Financial Disclosures None
Judgment/Liens None
Regulatory Events None
Civil Events None
Criminal Disclosures 1 (FINRA, SEC)
Investigations None
Total Years Registered 15 years
Total Registered Employers 5


UBS Financial Services



UBS Financial Services, registered in 1971, is a Registered Investment Advisor (RIA) in 46 state(s) with a licensed staff of 9,948 advisors. UBS Financial Services manages $591.4 billion and provides investment advisory services for 994,585 clients (1:100 advisor/client ratio).

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