Peter Schipper
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 Schipper, who also goes by Pete Schipper, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1988. Peter had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 4 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
January 17, 2008 - December 22, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 17, 2008 - December 22, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 2, 2007 - October 30, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - October 30, 2007
MORGAN STANLEY & CO. LLC
March 21, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
March 18, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
March 11, 2004 - November 4, 2004
FIRST HORIZON ADVISORS, INC.
January 9, 2004 - November 4, 2004
FIRST HORIZON ADVISORS, INC.
August 30, 2001 - May 27, 2003
AVONDALE PARTNERS, LLC
November 3, 1988 - July 31, 2001
TRUIST SECURITIES, INC.
February 15, 1988 - November 10, 1988
LEHMAN BROTHERS INC.
January 19, 1988 - February 15, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 8
Date: 8/26/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
