William Peet
Professional Summary
William Peet, who also goes by William Gerard Peet, is a registered financial advisor currently at NATWEST MARKETS SECURITIES INC. located in Stamford, Connecticut. William is registered as a RR (Registered Representative) and started their career in finance in 1991. William has worked at 10 firms and has passed the Series 63, Series 57TO, Series 99TO, Series 52TO, SIE, Series 55, Series 7, Series 6, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
William Gerard Peet
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
GREENWICH CAPITAL MARKETS INC | RBS SECURITIES INC. | RBS GREENWICH CAPITAL | NATWEST MARKETS SECURITIES INC. | NATWEST MARKETS (A MARKETING NAME FOR RBS SECURITIES INC.) | GREENWICH CAPITAL MARKETS, INC.
Contact Information
Main Address
600 Washington Boulevard, Stamford, CT 06901Mailing Address
600 Washington Boulevard, Stamford, CT 06901Phone Number
(203) 897-2700Established
Delaware since 11/07/1985Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (49 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBS HOLDINGS USA INC. | SHAREHOLDER | — |
| BABAYEV, ETHAN | CHIEF FINANCIAL OFFICER | 4452299 |
| BROWER, LISA | SECRETARY, GENERAL COUNSEL | 6177644 |
| BROWN, EDWARD ALLEN | HEAD OF US CAPITAL MARKETS | 5444970 |
| BUCCI, MICHELLE A | CHIEF OPERATING OFFICER | 5192971 |
| DESIMONE, LISA MARIE | CHIEF COMPLIANCE OFFICER | 2691368 |
| GIRARD, MICHELLE COLLEY | PRESIDENT / CHIEF EXECUTIVE OFFICER | 2185240 |
| ROOSE, SCOTT | DIRECTOR | 2539705 |
| SPEZZANO, CASEY RYAN | DIRECTOR | 4678231 |
Disclosures
Regulatory Event
43Civil Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(8/17/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Jul 2000Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1991About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view William Peet's CRS (Customer Relationship Summary).
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