Peter J. Leahy
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 Joseph Leahy, who also goes by Peter J Leahy, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1985. Peter had worked at 8 firms and has passed the Series 66, Series 63, SIE, 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
June 28, 2017 - September 28, 2018
GENERAL WELLINGTON CAPITAL LLC
May 10, 2016 - June 21, 2016
SILVER LEAF PARTNERS, LLC
May 11, 2011 - October 22, 2015
WELLS FARGO CLEARING SERVICES, LLC
May 11, 2011 - October 22, 2015
WELLS FARGO CLEARING SERVICES, LLC
April 27, 2000 - May 13, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 27, 2000 - May 13, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 24, 1992 - May 4, 2000
CIBC WORLD MARKETS CORP.
June 6, 1989 - May 8, 1992
LEHMAN BROTHERS INC.
May 7, 1985 - June 19, 1989
CIBC WORLD MARKETS CORP.
January 31, 1985 - May 15, 1985
THOMSON MCKINNON SECURITIES INC.
January 17, 1985 - February 20, 1985
JEFFERIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GENERAL WELLINGTON CAPITAL LLC
CRD#: 282139 / SEC#: , 8-69705
Contact information
FINRA licenses (10 States and Territories)
Documents
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.
