Peter H. Foley
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 Hargitt Foley, who also goes by Peter F Foley, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1972. Peter had worked at 26 firms and has passed the Series 63, Series 1, Series 24, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2005 - March 12, 2007
INCAP SECURITIES, INC.
July 16, 2004 - May 23, 2005
CROWN INVESTMENT BANKING, INC.
November 11, 2002 - July 16, 2004
INCAP SECURITIES, INC.
October 2, 2000 - December 5, 2000
AUERBACH, POLLAK & RICHARDSON INC.
April 4, 2000 - June 1, 2000
BROOKSTREET SECURITIES CORPORATION
March 30, 1999 - June 25, 1999
RICHMARK CAPITAL CORPORATION
October 6, 1998 - March 3, 1999
E*OFFERING
July 9, 1998 - September 10, 1998
L.H. FRIEND, WEINRESS, FRANKSON & PRESSON, LLC
May 6, 1998 - June 23, 1998
WALDRON & CO., INC.
June 11, 1997 - September 19, 1997
ROTH CAPITAL PARTNERS, LLC
May 17, 1996 - May 2, 1997
GILFORD SECURITIES INCORPORATED
October 13, 1995 - May 7, 1996
A. R. BARON & CO., INC.
June 19, 1995 - September 13, 1995
RICKEL & ASSOCIATES, INC.
February 17, 1995 - March 21, 1995
HORNBLOWER & WEEKS, INC.
March 3, 1994 - August 8, 1994
FAB SECURITIES OF AMERICA, INC.
July 29, 1992 - January 5, 1994
IICC - TRADECO, INC.
January 5, 1990 - August 9, 1990
AMERICAN FRONTEER FINANCIAL CORPORATION
January 26, 1989 - December 5, 1989
J. T. MORAN & CO., INC.
June 27, 1988 - February 2, 1989
BAIRD, PATRICK & CO., INC.
January 13, 1988 - April 19, 1988
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
April 14, 1987 - January 22, 1988
STEINBERG & LYMAN
August 12, 1985 - March 10, 1987
KUHNS BROTHERS & LAIDLAW, INC.
April 7, 1982 - August 5, 1985
JEFFERIES LLC
October 7, 1981 - March 28, 1982
L. F. ROTHSCHILD & CO. INCORPORATED
June 25, 1980 - May 13, 1981
CIBC WORLD MARKETS CORP.
September 12, 1978 - July 6, 1980
UBS FINANCIAL SERVICES INC.
September 8, 1972 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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
Series 1
Date: 9/5/1972
Registered Representative ExaminationSeries 40
Date: 12/8/1975
Registered Principal ExaminationCurrent Firm
INCAP SECURITIES, INC.
CRD#: 25401 / SEC#: , 8-41590
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INCAP GROUP | DIRECT OWNER | |
| TENNIES, F JAMES | PRESIDENT/CHIEF COMPLIANCE OFFICER | 2538157 |
Disclosures
| Regulatory Event | 2 |
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.
