Peter D. Morgan
Professional summary
Peter Dawson Morgan is a registered financial professional currently at THE SPARTAN GROUP located in Tiburon, California.
Peter is registered as a RR (Registered Representative) and started their career in finance in 1984. Peter has worked at 4 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter Dawson Morgan's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 14, 2003 - Present
THE SPARTAN GROUP
October 14, 1996 - February 20, 2002
BANC OF AMERICA SECURITIES LLC
May 24, 1984 - January 17, 1996
LEHMAN BROTHERS INC.
May 22, 1984 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB 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
(2/13/2003)
(11/1/2004)
(11/1/2004)
(6/23/2004)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
THE SPARTAN GROUP
CRD#: 124430 / SEC#: , 8-65674
Contact information
FINRA licenses (11 States and Territories)
Documents
Red Flags
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