Peter D. Graves
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 David Graves was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1991. Peter had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2018 - July 11, 2019
HAITONG SECURITIES USA LLC
April 22, 2014 - July 11, 2019
HAITONG INTERNATIONAL SECURITIES (USA) INC.
February 13, 2012 - March 18, 2014
MUFG SECURITIES AMERICAS INC.
November 25, 2002 - November 11, 2011
DAIWA CAPITAL MARKETS AMERICA INC.
April 9, 2001 - November 22, 2002
DAIWA CAPITAL MARKETS AMERICA INC.
April 20, 1998 - March 16, 2001
ABN AMRO INCORPORATED
August 27, 1997 - May 1, 1999
ABN AMRO ASIA INC.
March 12, 1993 - August 15, 1997
CREDIT SUISSE SECURITIES (USA) LLC
July 15, 1991 - March 12, 1993
GOLDMAN SACHS AUSTRALIA INC.
February 21, 1991 - July 5, 1991
SMITH NEW COURT, INC.
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
HAITONG SECURITIES USA LLC
CRD#: 281918 / SEC#: , 8-69694
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HAITONG INTERNATIONAL SECURITIES GROUP LIMITED | PARENT | |
| FORBES, SEAN MATTHEW | PRESIDENT, CHIEF COMPLIANCE OFFICER & CHIEF FINANCIAL OFFICER | 1554301 |
Red Flags
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