Peter C. Mcfadden
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 Carroll Mcfadden, who also goes by Peter Carroll Mcfadden Jr, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1990. Peter had worked at 13 firms and has passed the Series 65, Series 66, Series 63, Series 31, Series 7 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
January 7, 2021 - December 5, 2022
PORTFOLIO MEDICS, LLC
June 8, 2010 - July 5, 2011
MORGAN STANLEY
May 7, 2008 - May 29, 2009
RIDGEWAY & CONGER, INC.
September 20, 2006 - April 2, 2008
PENTEGRA INVESTORS, INC.
September 18, 2006 - April 2, 2008
PENTEGRA DISTRIBUTORS INC.
October 31, 2005 - September 14, 2006
OSAIC SERVICES, INC.
January 26, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
October 14, 2003 - December 31, 2004
SUNAMERICA SECURITIES, INC.
November 6, 2002 - October 20, 2003
HORNOR, TOWNSEND & KENT, LLC
May 31, 2002 - September 6, 2002
MML INVESTORS SERVICES, LLC
August 10, 2001 - December 11, 2001
LASALLE ST SECURITIES, L.L.C.
April 18, 1995 - December 10, 1996
NATHAN & LEWIS SECURITIES, INC.
November 11, 1992 - December 13, 1994
BROADPOINT DESCAP
August 27, 1991 - November 10, 1992
GUARDIAN INVESTOR SERVICES LLC
July 23, 1990 - August 26, 1991
HORNOR, TOWNSEND & KENT, LLC
Primary Firm SEC Registration
PORTFOLIO MEDICS, LLC
CRD#: 145958 / SEC#: 801-113846
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
PORTFOLIO MEDICS, LLC
CRD#: 145958 / SEC#: 801-113846
Contact information
SEC notice filing (41 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 3,702 |
| AUM (Assets Under Management) | $ 552,733,331 |
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.
