Peter M. Guerriero
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 Michael Guerriero was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1988. Peter had worked at 14 firms and has passed the Series 63, Series 66, SIE, Series 31 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
September 28, 2016 - March 22, 2017
MAXIM FINANCIAL ADVISORS LLC
August 3, 2016 - March 17, 2017
MAXIM GROUP LLC
January 25, 2016 - August 2, 2016
PFS INVESTMENTS INC.
December 11, 2015 - August 2, 2016
PFS INVESTMENTS INC.
September 5, 2013 - December 17, 2013
MML INVESTORS SERVICES, LLC
August 26, 2013 - December 17, 2013
MML INVESTORS SERVICES, LLC
January 31, 2011 - September 23, 2011
MORGAN STANLEY
November 10, 2010 - September 23, 2011
MORGAN STANLEY
February 13, 2001 - July 23, 2001
PUNK, ZIEGEL & COMPANY, L.P.
January 13, 2001 - February 15, 2001
DEUTSCHE BANK SECURITIES INC.
January 4, 1999 - January 13, 2001
DB ALEX. BROWN LLC
June 29, 1998 - January 4, 1999
UBS SECURITIES LLC
May 19, 1998 - June 29, 1998
SBC WARBURG DILLON READ INC.
January 11, 1995 - May 7, 1998
HAMBRECHT & QUIST LLC
March 8, 1993 - January 16, 1995
LADENBURG THALMANN & CO. INC.
January 10, 1989 - March 29, 1993
LEHMAN BROTHERS INC.
March 22, 1988 - January 14, 1989
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
MAXIM FINANCIAL ADVISORS LLC
CRD#: 139366 / SEC#: 801-66147
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
MAXIM FINANCIAL ADVISORS LLC
CRD#: 139366 / SEC#: 801-66147
Contact information
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 753 |
| AUM (Assets Under Management) | $ 396,466,473 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 09/17/2024 | ||
| 12/19/2023 | ||
| 01/24/2023 |
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.
