Peter L. Mccarthy
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 Leslie Mccarthy was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1984. Peter had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2003 - December 31, 2016
SLD AMERICA EQUITIES, INC.
August 7, 1990 - December 10, 2001
IDS LIFE INSURANCE COMPANY
August 7, 1990 - December 10, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
December 23, 1988 - January 19, 1989
B.C. CHRISTOPHER SECURITIES CO.
October 9, 1987 - December 23, 1988
MORISON SECURITIES, INC.
March 11, 1986 - December 26, 1986
SECURIAN FINANCIAL SERVICES, INC.
September 10, 1984 - March 14, 1986
THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY
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
SLD AMERICA EQUITIES, INC.
CRD#: 36259 / SEC#: , 8-47089
Contact information
FINRA licenses (46 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITY LIFE OF DENVER INSURANCE COMPANY | PARENT OF BROKER/DEALER | |
| ANDERSON, KELLY MARIE | DEPUTY COMPLIANCE OFFICER | 1819119 |
| BURNS, BRANDI JO | PRESIDENT | 5862366 |
| DIXIT, ANURAKT | CHAIR/DIRECTOR | 8029030 |
| ESLINGER, CHAD MICHAEL | CHIEF COMPLIANCE OFFICER | 4182299 |
| KILIAN, CONRAD JOHANN | FINANCIAL AND OPERATIONS PRINCIPAL | 6214509 |
| SOCHA, KEVIN ROBERT | DIRECTOR | 7241694 |
| WIESE, AMY JO | DIRECTOR | 5928677 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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