Peter J. Conrad
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 James Conrad was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1990. Peter had worked at 4 firms and has passed the Series 65, Series 63 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
January 14, 2014 - November 17, 2014
KOPP INVESTMENT ADVISORS
April 24, 1991 - January 10, 1995
CHARLES SCHWAB & CO., INC.
July 31, 1990 - April 10, 1991
IDS LIFE INSURANCE COMPANY
July 31, 1990 - April 10, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
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
KOPP INVESTMENT ADVISORS
CRD#: 107010 / SEC#: 801-36574
Contact information
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.
