Peter J. Boylan
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 Joseph Boylan was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1987. Peter had worked at 11 firms and has passed the Series 63, Series 3, 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
May 15, 2002 - November 15, 2002
STONEX SECURITIES INC.
April 22, 1992 - May 15, 2002
AMERICAN INVESTMENT SERVICES, INC.
February 28, 1992 - April 30, 1992
CHATFIELD DEAN & CO., INC.
February 5, 1992 - March 7, 1992
U.S. SECURITIES CLEARING CORP.
December 21, 1991 - February 14, 1992
MARINER FINANCIAL SERVICES, INC.
September 16, 1991 - October 8, 1991
FIRST ASSET MANAGEMENT, INC.
January 10, 1991 - October 7, 1991
ROTHSCHILD GLOBAL INVESTMENTS, INC.
November 27, 1990 - January 9, 1991
CHATFIELD DEAN & CO., INC.
September 19, 1989 - December 4, 1990
THE STUART-JAMES COMPANY, INCORPORATED
March 13, 1989 - September 20, 1989
ADAMS SECURITIES, INC.
January 20, 1989 - March 16, 1989
KOBER FINANCIAL CORP.
September 24, 1987 - January 31, 1989
F.D. ROBERTS SECURITIES, 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
Current Firm
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
