Peter J. Conley
Professional summary
Peter Joseph Conley is a registered financial professional currently at BOUSTEAD SECURITIES, LLC located in Irvine, California and SUTTER SECURITIES INCORPORATED located in Irvine, California.
Peter is registered as a RR (Registered Representative) and started their career in finance in 1988. Peter has worked at 13 firms and has passed the Series 63, Series 79TO, Series 72, SIE, Series 86, Series 87, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter Joseph Conley's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 24, 2014 - Present
BOUSTEAD SECURITIES, LLC
Office #1: 6 Venture Suite 395, Irvine, CA 92618April 15, 2021 - Present
SUTTER SECURITIES INCORPORATED
Office #1: 6 Venture, Suite 395 Suite 395, Irvine, CA 92618July 2, 2009 - November 1, 2012
MDB CAPITAL
February 19, 2009 - July 6, 2009
NORTHLAND SECURITIES, INC.
August 24, 2005 - February 18, 2009
MDB CAPITAL
May 28, 2004 - September 20, 2005
BROOKSTREET SECURITIES CORPORATION
April 25, 2003 - May 27, 2004
MDB CAPITAL
August 16, 2002 - May 15, 2003
FIRST SECURITIES USA, INC.
January 30, 2002 - August 6, 2002
L.H. FRIEND, WEINRESS, FRANKSON & PRESSON, LLC
July 12, 2001 - January 29, 2002
CAPITAL GROWTH FINANCIAL, LLC
April 30, 1999 - March 8, 2000
E*OFFERING
February 23, 1995 - February 26, 1999
ROTH CAPITAL PARTNERS, LLC
October 27, 1994 - March 2, 1995
TEXAS CAPITAL SECURITIES, INC.
September 30, 1991 - September 28, 1994
ROTH CAPITAL PARTNERS, LLC
September 6, 1990 - February 20, 1991
LEHMAN BROTHERS INC.
January 17, 1990 - August 27, 1990
J.P. MORGAN SECURITIES LLC
December 20, 1988 - February 5, 1990
LEHMAN BROTHERS 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
(10/24/2014)
(10/27/2014)
(2/20/2015)
(4/19/2021)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationFINRA
Current Firm
SUTTER SECURITIES INCORPORATED
CRD#: 30770 / SEC#: , 8-45158
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUTTER SECURITIES GROUP INC (FORMERLY FINTECH GLOBAL MARKETS) | SHAREHOLDER | |
| BULL, ROBERT LEE IV | FINOP | 1521134 |
| CHOMATIL, NEHRU SUBRAMANIAN | CHIEF COMPLIANCE OFFICER | 2342004 |
| MALEY, ROBERT ANDREW | EXECUTIVE VICE PRESIDENT | 2442794 |
| MATTHEWS, GILBERT ELLIOTT | SR. MANAGING DIRECTOR, DIRECTOR, CHAIRMAN | |
| SMITH, LINCOLN JOSEPH JR | PRESIDENT, CEO | 2501422 |
Disclosures
| Regulatory Event | 1 |
| Bond | 1 |
Red Flags
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