Peter L. Gill
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 Lorenzo Gill was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1986. Peter had worked at 14 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
May 4, 2021 - December 13, 2023
CADARET, GRANT & CO., INC.
December 8, 2004 - December 13, 2023
CADARET, GRANT & CO., INC.
November 9, 2004 - December 3, 2004
PURSHE KAPLAN STERLING INVESTMENTS
March 4, 2002 - November 9, 2004
MURPHY VAN SECURITIES, INC.
January 9, 2001 - January 24, 2002
DOMINARI SECURITIES LLC
May 27, 1999 - December 31, 2000
MERIT CAPITAL ASSOCIATES, INC.
November 18, 1994 - April 21, 1999
PURSHE KAPLAN STERLING INVESTMENTS
January 21, 1994 - October 24, 1994
SAPERSTON FINANCIAL INC.
June 11, 1993 - December 16, 1993
A. T. BROD & CO. INC.
February 19, 1993 - June 16, 1993
FIRST MONTAUK SECURITIES CORP.
February 1, 1993 - March 2, 1993
METROPOLITAN LIFE INSURANCE COMPANY
February 1, 1993 - March 2, 1993
MSI FINANCIAL SERVICES, INC.
October 17, 1990 - February 13, 1991
BAIRD, PATRICK & CO., INC.
April 18, 1988 - February 20, 1992
CARONA & HODGES SECURITIES, INC.
November 14, 1986 - March 31, 1988
FITZGERALD, DEARMAN & ROBERTS, INC.
April 25, 1986 - November 10, 1986
FIRST JERSEY SECURITIES, 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
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
