Peter R. Maher
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 R Maher, who also goes by Peter Robert Maher, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1992. Peter had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 52 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, 2022 - March 7, 2025
CHARLES SCHWAB & CO., INC.
January 9, 2022 - March 7, 2025
CHARLES SCHWAB & CO., INC.
August 15, 2019 - January 11, 2022
TD AMERITRADE, INC.
June 12, 2019 - January 11, 2022
TD AMERITRADE, INC.
February 9, 2011 - May 28, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 28, 2011 - February 9, 2011
EMPOWER ADVISORY GROUP, LLC
January 19, 2010 - June 7, 2010
FIRST SOUTHWEST COMPANY, LLC
July 13, 2009 - January 6, 2010
CONTINENTAL INVESTORS SERVICES, INC.
May 14, 2009 - July 9, 2009
MATRIX CAPITAL GROUP, INC.
February 1, 2007 - May 16, 2008
ADVISORS ASSET MANAGEMENT, INC.
August 2, 2000 - February 7, 2007
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
May 14, 1999 - November 30, 1999
IDS LIFE INSURANCE COMPANY
May 14, 1999 - November 30, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
June 22, 1992 - December 2, 1998
CHAPDELAINE TULLETT PREBON, LLC
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
