Peter R. Fogarty
Professional summary
Peter Raymond Fogarty is a registered financial professional currently at PAULSON INVESTMENT COMPANY LLC located in Walnut Creek, California.
Peter is registered as a RR (Registered Representative) and started their career in finance in 1988. Peter has worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter Raymond Fogarty's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 23, 2015 - Present
PAULSON INVESTMENT COMPANY LLC
Office #1: 1255 Treat Blvd, Suite 300, Walnut Creek, CA 94597February 20, 2020 - December 31, 2024
PAULSON INVESTMENT ADVISORS, LLC
April 19, 2016 - December 10, 2020
PAULSON INVESTMENT COMPANY LLC
January 17, 2013 - January 30, 2015
ROTH CAPITAL PARTNERS, LLC
January 17, 2013 - January 30, 2015
ROTH CAPITAL PARTNERS, LLC
January 7, 2009 - November 19, 2012
ADVANCED EQUITIES, INC.
January 6, 2009 - November 19, 2012
ADVANCED EQUITIES, INC.
June 25, 2008 - January 2, 2009
FINANCIAL WEST GROUP
September 2, 2004 - July 1, 2008
THE SHEMANO GROUP, INC.
November 2, 2001 - September 3, 2004
KIRLIN SECURITIES INC.
February 19, 1998 - November 7, 2001
J.P. MORGAN SECURITIES LLC
February 7, 1994 - March 4, 1998
H.J. MEYERS & CO., INC.
May 11, 1992 - September 23, 1992
PRUDENTIAL EQUITY GROUP, LLC
December 2, 1991 - May 8, 1992
SUTRO & CO. INCORPORATED
November 23, 1988 - November 20, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/24/2023)
(1/23/2015)
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(1/23/2015)
(6/11/2015)
(1/3/2024)
(1/23/2015)
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(10/13/2016)
(1/23/2015)
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(8/23/2016)
(4/27/2017)
(6/21/2016)
(1/23/2015)
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(1/23/2015)
(1/23/2015)
(6/11/2015)
(1/23/2015)
(3/15/2019)
(1/23/2015)
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(10/13/2016)
(1/23/2015)
(1/23/2015)
(8/7/2018)
(8/24/2021)
(10/21/2016)
(9/18/2018)
(8/26/2016)
(1/23/2015)
(10/21/2016)
(1/23/2015)
(1/23/2015)
(1/23/2015)
(1/23/2015)
(1/23/2015)
Exams
FINRA
Current Firm
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
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.
Company Information
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670Walnut Creek, CA 94597TRUST BUT VERIFY
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