Peter W. Ahrens
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 William Ahrens was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1989. Peter had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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
December 26, 2018 - November 8, 2019
CADARET, GRANT & CO., INC.
October 17, 2016 - December 31, 2016
THE LEADERS GROUP, INC.
March 10, 2014 - December 18, 2014
LPL FINANCIAL LLC
October 15, 2013 - December 18, 2014
LPL FINANCIAL LLC
February 22, 2011 - December 31, 2013
FIVE STAR INVESTMENT SERVICES, INC.
July 17, 2008 - March 26, 2009
HSBC SECURITIES (USA) INC.
January 1, 2005 - March 26, 2009
HSBC SECURITIES (USA) INC.
January 28, 1998 - January 1, 2005
HSBC BROKERAGE (USA) INC.
November 13, 1991 - October 10, 1997
IDS LIFE INSURANCE COMPANY
November 13, 1991 - October 10, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
November 20, 1989 - September 7, 1991
S.C. PARKER & CO., INC.
January 16, 1989 - September 20, 1989
FORESTERS FINANCIAL SERVICES, 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
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
