Peter J. Dunphy
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 John Dunphy was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1987. Peter had worked at 8 firms and has passed the Series 63, SIE, Series 55 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
March 31, 2004 - May 23, 2019
SIDOTI & COMPANY, LLC
July 15, 2003 - November 6, 2003
TP ICAP GLOBAL MARKETS AMERICAS LLC
October 14, 2002 - May 8, 2003
FHN FINANCIAL SECURITIES CORP.
September 17, 2001 - April 15, 2002
NATIXIS SECURITIES AMERICAS LLC
May 11, 2000 - March 27, 2001
CANACCORD GENUITY SECURITIES LLC
November 9, 1998 - April 25, 2000
THE BUCKINGHAM RESEARCH GROUP INCORPORATED
May 20, 1993 - October 8, 1998
PUNK, ZIEGEL & COMPANY, L.P.
June 23, 1987 - May 17, 1993
MORGAN STANLEY DW 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: 5/20/2004
Limited Representative-Equity Trader ExamCurrent Firm
SIDOTI & COMPANY, LLC
CRD#: 102860 / SEC#: , 8-52141
Contact information
FINRA licenses (40 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
