Dodd L. Mcgough
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.
Dodd Lee Mcgough, who also goes by Dodd Lee Mcgough, Dodd Mcgough, was a registered financial professional .
Dodd is a previously registered financial professional and started their career in finance in 1991. Dodd had worked at 7 firms and has passed the Series 63, Series 65, Series 7, Series 24, Series 53 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2020 - August 14, 2020
PEAK BROKERAGE SERVICES, LLC
February 15, 2000 - September 11, 2008
KESTRA INVESTMENT SERVICES, LLC
January 12, 2000 - February 23, 2000
WALNUT STREET SECURITIES, INC.
January 17, 1997 - January 2, 1998
SECURITIES SERVICE NETWORK, LLC
June 7, 1996 - December 13, 1996
KEOGLER, MORGAN & COMPANY, INC.
October 16, 1995 - June 5, 1996
CENTENNIAL CAPITAL MANAGEMENT, INC.
January 14, 1993 - July 26, 1995
J.C. BRADFORD & CO.
January 1, 1991 - December 17, 1992
SECURITIES SERVICE NETWORK, 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
PEAK BROKERAGE SERVICES, LLC
CRD#: 157045 / SEC#: , 8-68829
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEAK REPS, LLC | OWNER | |
| COKER, KAREN | CHIEF RISK OFFICER | 2731928 |
| MUELLER, CHRISTOPHER BRIAN | CHIEF OPERATIONS OFFICER | 2098597 |
| PHILLIPS, DAVID LEVERT | CHIEF INFORMATION SECURITY OFFICER | 2054858 |
| REYNOLDS, MATTHEW MARK | PRESIDENT/FINOP | 4077413 |
| RUDNICK, REGINA MARY | PRESIDENT/HEAD OF ADVISOR SERVICES | 2373530 |
| TAYLOR, CHRISTIAN GABRIEL | CHIEF COMPLIANCE OFFICER | 5462381 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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