Peter D. Compton
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 Douglas Compton, who also goes by Peter D Compton, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1987. Peter had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2009 - October 18, 2016
SVB ASSET MANAGEMENT
April 12, 2007 - October 18, 2016
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
April 29, 1987 - September 3, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
SVB ASSET MANAGEMENT
CRD#: 124567 / SEC#: 801-61674
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
SVB ASSET MANAGEMENT
CRD#: 124567 / SEC#: 801-61674
Contact information
SEC notice filing (20 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 523 |
| AUM (Assets Under Management) | $ 32,960,320,956 |
Red Flags
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