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Peter F. Mckinnon

Some features on this profile are disabled
CRD#: 1584788
PM

Professional summary

Peter Frederick Mckinnon was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Peter is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Peter had worked at 10 firms, which includes 1717 CAPITAL MANAGEMENT COMPANY, NEW ENGLAND SECURITIES, SECURIAN FINANCIAL SERVICES INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC, INVEST FINANCIAL CORPORATION, CHRISTOPHER WEIL & COMPANY INC, MORGAN STANLEY DW INC., GORE-HORVATH INC., LEHMAN BROTHERS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 4, 2002 - March 12, 2004

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
NEWARK, DE
Past

September 28, 1998 - February 20, 2002

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

April 3, 1997 - August 26, 1998

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
ST. PAUL, MN
Past

October 4, 1989 - April 7, 1997

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

October 4, 1989 - April 7, 1997

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

September 22, 1988 - March 11, 1989

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI
Past

August 23, 1988 - September 23, 1988

CHRISTOPHER WEIL & COMPANY, INC

BD
CRD#: 6566
Past

September 1, 1987 - January 23, 1988

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

February 24, 1987 - September 10, 1987

GORE-HORVATH, INC.

BD
CRD#: 6809
Past

November 21, 1986 - February 18, 1987

LEHMAN BROTHERS INC.

BD
CRD#: 7506

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/4/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 12/22/1986
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/15/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 7/31/1995
Investment Company Products/Variable Contracts Principal Examination

Current Firm

1C
1717 CAPITAL MANAGEMENT COMPANY
1717 CAPITAL MANAGEMENT COMPANY | PML SECURITIES COMPANY

CRD#: 4082 / SEC#: , 8-14657

BD
Terminated by SEC on 10/28/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 01/22/1969
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FOSTER, DOUGLAS WAYNEVICE PRESIDENT4395571

Disclosures

Regulatory Event4
Arbitration1
Bond3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

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