Peter J. Omalley
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 J Omalley, who also goes by Peter Joseph Malley, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1992. Peter had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2019 - March 9, 2021
JETT CAPITAL ADVISORS, LLC
March 12, 2016 - June 28, 2016
JETT CAPITAL ADVISORS, LLC
September 30, 2013 - March 5, 2014
CANACCORD GENUITY LLC
August 17, 2010 - December 14, 2011
HSBC SECURITIES (USA) INC.
October 12, 2006 - August 11, 2010
DEUTSCHE BANK SECURITIES INC.
January 13, 2003 - June 9, 2006
ABN AMRO INCORPORATED
July 9, 1997 - December 31, 2002
CREDIT SUISSE SECURITIES (USA) LLC
July 29, 1992 - April 18, 1994
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent Firm
JETT CAPITAL ADVISORS, LLC
CRD#: 169127 / SEC#: , 8-69353
Contact information
FINRA licenses (9 States and Territories)
Documents
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.
