Peter G. Morrissey
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 Grover Morrissey 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 7, Series 53 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 13, 2003 - August 6, 2012
W.R. HAMBRECHT + CO., LLC
October 27, 2000 - April 24, 2002
DRESDNER KLEINWORT WASSERSTEIN, LLC
November 9, 1999 - October 11, 2000
MCGLADREY CAPITAL MARKETS, LLC
December 21, 1992 - August 19, 1993
RAPHAEL, L.P.
December 21, 1992 - August 19, 1993
MICHAELANGELO, L.P.
November 19, 1992 - August 19, 1993
AG BD LLC
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
W.R. HAMBRECHT + CO., LLC
CRD#: 45040 / SEC#: , 8-50935
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Civil Event | 3 |
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.
