Peter J. Swenke
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 Jon Swenke was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1993. Peter had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 10, Series 9, Series 51, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2022 - July 29, 2025
CAPITAL CLIENT GROUP, INC.
December 16, 2014 - May 6, 2022
FORESIDE FUND SERVICES, LLC
June 28, 2007 - December 31, 2014
ALPS DISTRIBUTORS, INC.
September 16, 2004 - April 13, 2007
DEAM INVESTOR SERVICES, INC.
December 19, 2003 - April 12, 2007
DWS DISTRIBUTORS, INC.
January 22, 2003 - December 12, 2003
NYLIFE SECURITIES LLC
March 11, 1996 - December 9, 2002
MORGAN STANLEY DW INC.
November 26, 1993 - September 21, 1995
SUNAMERICA SECURITIES, INC.
Primary Firm SEC Registration
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
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 8
Date: 9/1/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
Contact information
SEC notice filing (15 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | STOCKHOLDER | |
| AGUILAR, ALBERT JR | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, DIRECTOR | 5106724 |
| BURTON, RENE MARGARET | TREASURER, FINANCIAL OPERATIONS PRINCIPAL, VICE PRESIDENT, DIRECTOR | 1956766 |
| MCHALE, TIMOTHY WILLIAM | SECRETARY | 4244021 |
| O'CONNOR, MATTHEW PHILIP | CHAIRMAN & CHIEF EXECUTIVE OFFICER, DIRECTOR | 2427203 |
| PIKEN, KEITH ALAN | SENIOR VICE PRESIDENT, DIRECTOR | 2576730 |
| TRIESSL, MICHAEL JAMES | DIRECTOR | 3060797 |
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.
