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PT

Peter C. Thomas

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CRD#: 2308944
PT

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 Charles Thomas was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 1995. Peter had worked at 3 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

September 26, 2012 - February 15, 2013

DETWILER FENTON & CO.

BD
CRD#: 1794
BOSTON, MA
Past

October 21, 1998 - July 19, 2001

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

May 25, 1995 - May 17, 1996

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, 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: 10/22/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/25/2012
General Securities Representative Examination

Current Firm

DF
DETWILER FENTON & CO.
DETWILER FENTON & CO. | LCS BONDS & FINANCIAL MANAGEMENT (DIVISION OF DMFG) | FECHTOR, DETWILER & CO., INC. | DMC ADVISORY SERVICES (A DIVISION OF FECHTOR, DETWILER & CO.) | DMC ADVISORY SERVICES (A DIVISION OF DMFG) | DETWILER, MITCHELL, FENTON & GRAVES, INC. | DETWILER, MITCHELL FENTON & GRAVES, INC.

CRD#: 1794 / SEC#: , 8-16324

BD
Terminated by SEC on 02/22/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Massachusetts since 01/04/1971
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DETWILER FENTON GROUP, INC.HOLDING COMPANY
FENTON, PETER DELIMACEO, PRESIDENT, CCO2334505
KAPPOTIS, ERNEST DFINOP

Disclosures

Regulatory Event6
Arbitration7
Bond2

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

DETWILER FENTON & CO.

CRD#: 1794

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