Peter Bruce Taben
Professional Summary
Peter Bruce Taben is a registered financial advisor currently at SEARLE & CO. located in Greenwich, Connecticut. Peter is registered as a RR (Registered Representative) and started their career in finance in 1984. Peter has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
SEARLE & CO.
Contact Information
Main Address
333 Greenwich Ave., Greenwich, CT 06830Mailing Address
333 Greenwich Ave., Greenwich, CT 06830Phone Number
(203) 869-4800Established
Connecticut since 11/22/1982Firm Type
CorporationFiscal Year End
SeptemberFirm Size
Small# of Employees
13SEC notice filing (9 States and Territories)
Registered to provide investment advisory services in 9 US states and territories.
FINRA licenses (25 States and Territories)
Registered to provide investment advisory services in 9 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
129AUM (Assets Under Management)
$629,892,525Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
SEARLE & CO.
State Registrations and Notice Filings
(2/1/1993)
(6/26/2025)
(3/5/1998)
(6/29/2010)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Peter Bruce Taben's CRS (Customer Relationship Summary).
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