William A. Peattie
Professional summary
William Austin Peattie is a registered financial advisor currently at PEATTIE CAPITAL MANAGEMENT located in Stamford, Connecticut.
William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. William has worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view William Austin Peattie's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 14, 2007 - Present
PEATTIE CAPITAL MANAGEMENT
Office #1: 1200 High Ridge Rd Ste 7 3rd Floor, Stamford, CT 06905September 9, 2002 - March 1, 2007
S F SENTRY SECURITIES, INC.
October 19, 1999 - September 9, 2002
BANC OF AMERICA SECURITIES LLC
October 1, 1997 - September 9, 2002
BANC OF AMERICA SECURITIES LLC
May 14, 1996 - October 1, 1997
MONTGOMERY SECURITIES
February 28, 1994 - June 3, 1994
NEW JAPAN SECURITIES INTERNATIONAL INC.
June 30, 1993 - November 8, 1993
INTERCAPITAL SECURITIES, INC.
October 22, 1985 - May 17, 1993
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/14/2007)
Exams
Current Firm
PEATTIE CAPITAL MANAGEMENT
CRD#: 144248 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 39,000,000 |
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.
