Peter D. Andrews
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 Daniel Andrews, who also goes by Pete Andrews, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1988. Peter had worked at 12 firms and has passed the Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2008 - December 31, 2012
FINANCIAL WEST GROUP
June 26, 2007 - October 23, 2008
MORGAN PEABODY, INC.
January 27, 2004 - June 25, 2007
BROOKSTREET SECURITIES CORPORATION
December 18, 2002 - January 9, 2004
FINANCIAL WEST GROUP
October 27, 1998 - December 31, 2000
CINCINNATI ANALYSTS, INC.
February 2, 1998 - November 16, 1998
PRINCIPAL SECURITIES, INC.
January 30, 1996 - February 26, 1996
FIMCO SECURITIES GROUP, INC.
September 28, 1995 - January 16, 1998
NYLIFE SECURITIES LLC
October 28, 1992 - August 9, 1995
PRUCO SECURITIES, LLC.
October 16, 1991 - August 18, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 16, 1991 - August 18, 1992
SIGNATOR INVESTORS, INC.
November 7, 1990 - September 23, 1991
THE ADVISORS GROUP, INC.
November 25, 1988 - November 1, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 25, 1988 - November 1, 1990
PRUCO SECURITIES, LLC.
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
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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