Peter J. Conlon
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 John Conlon JR, who also goes by Pete Conlon, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1985. Peter had worked at 5 firms and has passed the Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2012 - December 31, 2016
CONLON FINANCIAL ADVISORS & ASSOCIATES
November 9, 1989 - September 11, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 3, 1989 - November 24, 1989
UBS FINANCIAL SERVICES INC.
November 4, 1988 - April 15, 1989
ROTAN MOSLE INC.
September 25, 1985 - November 26, 1988
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 8
Date: 12/5/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CONLON FINANCIAL ADVISORS & ASSOCIATES
CRD#: 114224 / SEC#:
Contact information
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.
