Peter W. Schofield
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 William Schofield was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1986. Peter had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 27 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
September 19, 2001 - January 5, 2021
ABG SUNDAL COLLIER INC.
May 6, 1998 - March 10, 2000
LEHMAN BROTHERS INC.
April 16, 1996 - April 7, 1998
HSBC SECURITIES (USA) INC.
December 4, 1990 - October 5, 1995
NATWEST INTERNATIONAL SECURITIES INC.
October 20, 1988 - March 11, 1996
NATWEST SECURITIES CORPORATION
February 10, 1988 - February 21, 1991
COUNTY NATWEST GLOBAL SECURITIES LIMITED
August 19, 1986 - February 2, 1988
WOOD, MACKENZIE & CO., 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
Series 55
Date: 6/22/1999
Limited Representative-Equity Trader ExamCurrent Firm
ABG SUNDAL COLLIER INC.
CRD#: 30605 / SEC#: , 8-44768
Contact information
FINRA licenses (6 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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