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Peter C. Mell

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CRD#: 2213795
PM

Professional summary

Peter Courtney Mell SR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Peter is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Peter had worked at 2 firms, which includes HUNTER ASSET MANAGEMENT LLC, BEDROK SECURITIES LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Peter Courtney Mell

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 23, 2002 - March 17, 2004

HUNTER ASSET MANAGEMENT, LLC

BD
CRD#: 117253
GLADSTONE, NJ
Past

February 18, 1997 - November 21, 2001

BEDROK SECURITIES LLC

BD
CRD#: 13134
RYE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/9/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/22/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 3/19/1996
Municipal Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 2/16/2002
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/6/2001
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/9/2000
General Securities Principal Examination

Current Firm

HA
HUNTER ASSET MANAGEMENT, LLC
HUNTER ASSET MANAGEMENT, LLC

CRD#: 117253 / SEC#: , 8-53588

BD
Terminated by SEC on 01/22/2005
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Contact information

Main Address
Mailing Address
Phone number
Established
New Jersey since 08/24/2001
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PCM INVESTORS, LLC100% OWNER
GORDON, DENNIS TODD LLOYDCFO/FINOP1614614
MELL, PETER COURTNEY SRCEO/FINANCIAL & OPERATIONS PRINCIPAL/MP/EQUITY TRADER2213795

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.

Company Information

HUNTER ASSET MANAGEMENT, LLC

CRD#: 117253

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