Peter J. Schmole
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 Joachim Schmole, who also goes by Peter Schmole, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1997. Peter had worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 3 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2016 - December 31, 2018
STANDARD LIFE INVESTMENTS SECURITIES LLC
May 10, 2004 - October 16, 2006
MERRILL LYNCH INVESTMENT MANAGERS LP
August 11, 2003 - October 16, 2006
FAM DISTRIBUTORS, INC.
January 9, 2002 - May 28, 2003
MUTUAL OF AMERICA SECURITIES LLC
January 9, 2002 - May 28, 2003
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
July 1, 1998 - January 8, 2002
COWEN AND COMPANY
September 18, 1997 - July 1, 1998
FINANCIAL SQUARE PARTNERS
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
STANDARD LIFE INVESTMENTS SECURITIES LLC
CRD#: 157233 / SEC#: , 8-68839
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STANDARD LIFE INVESTMENTS (USA) LIMITED | 100% EQUITY OWNER | 118708 |
| BERTE, STEPHEN JOHN | DIRECTOR | 6813438 |
| CAMMARATA, KRISTEN MARIE | CHIEF COMPLIANCE OFFICER | 5712807 |
| FORTINO, ROBERT ANTHONY | CHIEF FINANCIAL OFFICER/FINOP | 1905741 |
| MARSHALL, CLAIRE EMMA CATHERINE MRS | DIRECTOR | 6818060 |
| MORRIS, JEFFREY GLENN | DIRECTOR | 2190983 |
| ROBERTS, ERIC WILLIAM | EXECUTIVE REPRESENTATIVE | 4878508 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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