Peter F. Scribner
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 Francis Scribner was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1989. Peter had worked at 7 firms and has passed the Series 63, Series 3 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
January 2, 1998 - November 8, 2002
CADARET, GRANT & CO., INC.
January 2, 1996 - November 24, 1997
MERIT CAPITAL ASSOCIATES, INC.
January 11, 1995 - December 19, 1995
BOLTON GLOBAL CAPITAL
August 17, 1994 - December 31, 1994
COMPASS SECURITIES CORPORATION
August 4, 1994 - August 15, 1994
OSAIC WEALTH, INC.
November 17, 1989 - August 9, 1994
MORGAN STANLEY DW INC.
August 31, 1989 - November 28, 1989
THE STUART-JAMES COMPANY, INCORPORATED
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
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
