William G. Peet
Professional summary
William Gerard Peet, who also goes by William Gerard Peet, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Gerard Peet's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 17, 2023 - Present
NATWEST MARKETS SECURITIES INC.
Office #1: 600 Washington Boulevard, Stamford, CT 06901November 17, 2022 - March 20, 2023
MORGAN STANLEY
April 16, 2015 - March 20, 2023
E*TRADE SECURITIES LLC
May 17, 2013 - April 21, 2015
WOODBURY FINANCIAL SERVICES, INC.
March 20, 2013 - April 21, 2015
VALIC FINANCIAL ADVISORS, INC.
May 7, 2008 - October 29, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
May 7, 2008 - April 21, 2015
OSAIC SERVICES, INC.
September 21, 2001 - March 3, 2009
ADVANTAGE CAPITAL CORPORATION
September 21, 2001 - May 7, 2015
FSC SECURITIES CORPORATION
May 6, 1991 - April 21, 2015
OSAIC WEALTH, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/17/2023)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 7/5/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
NATWEST MARKETS SECURITIES INC.
CRD#: 11707 / SEC#: , 8-37135
Contact information
FINRA licenses (49 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBS HOLDINGS USA INC. | SHAREHOLDER | |
| AUSBURN, MICHAEL THOMAS | DIRECTOR / CHIEF FINACIAL OFFICER | 2523037 |
| BROWER, LISA | SECRETARY, GENERAL COUNSEL | 6177644 |
| 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 | 43 |
| Civil Event | 4 |
Red Flags
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