Peter C. Faherty
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 Cross Faherty JR was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1993. Peter had worked at 9 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2019 - May 19, 2022
WALL STREET ACCESS
October 3, 2018 - August 26, 2019
LPS CAPITAL LLC
January 2, 2013 - October 19, 2018
BB&T SECURITIES, LLC
November 19, 2010 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
September 30, 2009 - October 19, 2010
CABRERA CAPITAL MARKETS, LLC
March 4, 2009 - September 18, 2009
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
March 7, 2005 - October 2, 2008
JEFFERIES LLC
March 23, 1999 - March 15, 2005
PIPER SANDLER & CO.
February 9, 1993 - March 24, 1999
CHAPDELAINE CORPORATE SECURITIES & CO
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
WALL STREET ACCESS
CRD#: 10012 / SEC#: , 8-25936
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DPK SECURITIES, LLC | 98% OWNER/GENERAL PARTNER | |
| DENIS P. KELLEHER, LLC | 2% OWNER/GENERAL PARTNER | |
| GOETCHIUS, ARTHUR LEROY | CHIEF EXECUTIVE OFFICER | 1374251 |
| KELLEHER, SEAN MICHAEL | PRESIDENT | 1726997 |
| LAVIN, WILLIAM KANE JR | EXECUTIVE MANAGING DIRECTOR / ROSFP | 2703117 |
| MITCHELL, JOHN LOUIS | CHIEF FINANCIAL OFFICER / FINOP | 2193524 |
| O'CONNELL, JOHN PATRICK | ASSISTANT CONTROLLER | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 15 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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