Peter D. Shawn
Professional summary
Peter Dewey Shawn, who also goes by Peter D Shawn, is a registered financial advisor currently at TOCQUEVILLE ASSET MANAGEMENT LP located in New York, New York and TOCQUEVILLE SECURITIES L.P. located in New York, New York.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Peter has worked at 4 firms and has passed the Series 52TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Peter Dewey Shawn's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 19, 2021 - Present
TOCQUEVILLE ASSET MANAGEMENT LP
Office #1: 40 West 57th Street 19th Floor, New York, NY 10019April 5, 2005 - Present
TOCQUEVILLE SECURITIES L.P.
Office #1: 40 West 57th Street 19th Floor, New York, NY, 10019Office #2: 40 West 57th Street 19th Floor, New York, NY, 10019March 4, 1994 - April 13, 2005
LAZARD FRERES & CO. LLC
September 19, 1989 - March 1, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
TOCQUEVILLE ASSET MANAGEMENT LP
CRD#: 105690 / SEC#: 801-36209
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/19/2021)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
TOCQUEVILLE ASSET MANAGEMENT LP
CRD#: 105690 / SEC#: 801-36209
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,440 |
| AUM (Assets Under Management) | $ 9,660,385,107 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/26/2025 | ||
| 09/27/2024 | ||
| 02/22/2024 | ||
| 03/16/2023 |
Red Flags
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