Peter A. Horowitz
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 Andrew Horowitz was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1989. Peter had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 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, 2022 - April 10, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 19, 2022 - April 10, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 24, 2018 - January 5, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
May 24, 2018 - January 5, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
December 15, 2016 - June 14, 2018
CITIGROUP GLOBAL MARKETS INC.
December 15, 2016 - June 14, 2018
CITIGROUP GLOBAL MARKETS INC.
January 1, 2008 - December 14, 2016
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - December 14, 2016
WELLS FARGO CLEARING SERVICES, LLC
February 22, 2002 - January 1, 2008
A. G. EDWARDS & SONS, INC.
February 4, 2002 - January 3, 2008
A. G. EDWARDS & SONS, INC.
April 30, 1994 - February 15, 2002
J.P. MORGAN SECURITIES LLC
March 2, 1992 - December 8, 1993
UBS FINANCIAL SERVICES INC.
October 26, 1990 - October 31, 1991
PRUDENTIAL EQUITY GROUP, LLC
December 19, 1989 - March 29, 1990
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/15/2025 | ||
| 11/25/2024 | ||
| 08/24/2023 |
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.
