Peter F. Gaffney
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 Fitzgerald Gaffney was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1984. Peter had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2005 - March 3, 2009
AXES, LLC
October 29, 2004 - January 7, 2005
AKJ
January 22, 2001 - January 2, 2004
NEONET SECURITIES, INC.
September 27, 1988 - December 12, 1988
GREENTREE SECURITIES CORP.
December 18, 1984 - August 15, 1988
UBS CAPITAL MARKETS L.P.
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
Current Firm
AXES, LLC
CRD#: 134036 / SEC#: , 8-66806
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AXES HOLDINGS, LLC | SHAREHOLDER | |
| AUERBACH GRAYSON & COMPANY INCORPORATED | SHAREHOLDER | 30761 |
| PERRIGRINE EQUITY LLC | SHAREHOLDER | |
| PIK, ROBERT ROGER | EXECUTIVE V. PRESIDENT & CHIEF MARKETING OFFICER | 1535413 |
| ALLEGRA LEITNER TRUST | SHAREHOLDER | |
| AUERBACH, JONATHAN LEWIS | DIRECTOR-SHAREHOLDER | 8705 |
| EVAN LEITNER TRUST | SHAREHOLDER | |
| FRANK, STEPHEN HAMILTON | SHAREHOLDER | |
| GAFFNEY, PETER FITZGERALD | PRESIDENT, CHIEF COMPLIANCE OFFICER | 1175665 |
| GAVIRIA, SHARON ALEXANDRA | FINOP | 4348648 |
| GRAYSON, DAVID STUART | DIRECTOR, CEO - SHAREHOLDER | 838165 |
| KETTERER, JOHN GEORGE III | SHAREHOLDER | |
| OLIVIA LEITNER TRUST | SHAREHOLDER | |
| PESSIN, NORMAN HERBERT | SHAREHOLDER |
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.
