Peter Svorinic
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 Svorinic was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1985. Peter had worked at 11 firms and has passed the Series 66, Series 63, Series 99TO, Series 57TO, Series 52TO, Series 50, SIE, Series 55, Series 7, Series 6, Series 9, Series 10, Series 54, Series 27, Series 14, Series 8, Series 4, Series 53 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
November 6, 2018 - March 18, 2024
MOORS & CABOT, INC.
November 5, 2018 - March 18, 2024
MOORS & CABOT, INC.
September 19, 2016 - October 31, 2018
ACORNS
September 16, 2016 - October 31, 2018
ACORNS SECURITIES, LLC
May 9, 2011 - June 8, 2016
FIDELITY BROKERAGE SERVICES LLC
September 9, 2003 - September 15, 2010
FIDELITY BROKERAGE SERVICES LLC
January 9, 2002 - December 16, 2004
STRATEGIC ADVISERS LLC
March 14, 2001 - November 12, 2001
FIDELITY BROKERAGE SERVICES LLC
May 4, 1999 - September 12, 2003
NATIONAL FINANCIAL SERVICES LLC
September 11, 1996 - May 7, 1999
CIBC WORLD MARKETS CORP.
November 15, 1995 - August 27, 1996
J.P. MORGAN SECURITIES LLC
September 7, 1989 - November 7, 1995
J. B. HANAUER & CO.
July 18, 1989 - September 21, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
September 3, 1985 - October 2, 1985
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MOORS & CABOT, INC.
CRD#: 594 / SEC#: 801-48726, 8-23060
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 12/8/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 10/7/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MOORS & CABOT, INC.
CRD#: 594 / SEC#: 801-48726, 8-23060
Contact information
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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.
