Peter D. Stock
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 Dickens Stock was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1982. Peter had worked at 4 firms and has passed the Series 63, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2012 - January 17, 2014
FIERA CAPITAL CORPORATION
September 20, 2002 - December 31, 2019
STOCK INVESTMENT MANAGEMENT INC.
July 23, 1990 - June 19, 1992
LEHMAN BROTHERS INC.
November 25, 1982 - July 31, 1990
MORGAN STANLEY DW 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
Series 5
Date: 12/11/1982
Interest Rate Options ExaminationCurrent Firm
FIERA CAPITAL CORPORATION
CRD#: 154966 / SEC#: 801-71885
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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