Peter L. Staff
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 Lee Staff was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1986. Peter had worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, 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
January 11, 2023 - January 17, 2024
PEOPLE'S UNITED ADVISORS, INC.
July 22, 2020 - December 31, 2022
PEOPLE'S UNITED ADVISORS, INC.
January 3, 2000 - March 31, 2020
PEOPLE'S SECURITIES, INC.
May 8, 1998 - February 3, 2023
PEOPLE'S SECURITIES, INC.
February 3, 1998 - April 15, 1998
ESSEX NATIONAL SECURITIES, LLC
August 28, 1996 - February 13, 1998
HOWARD WEIL INCORPORATED
December 16, 1994 - June 7, 1995
COMPULIFE INVESTOR SERVICES, INC.
April 30, 1991 - September 27, 1994
INTESA SANPAOLO IMI SECURITIES CORP.
October 7, 1988 - April 30, 1991
MABON, NUGENT & CO.
May 20, 1986 - October 11, 1988
INVEST FINANCIAL CORPORATION
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 ExaminationCurrent Firm
PEOPLE'S UNITED ADVISORS, INC.
CRD#: 292454 / SEC#: 801-112648
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,076 |
| AUM (Assets Under Management) | $ 845,211,011 |
Red Flags
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