Peter W. Gilligan
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 Warren Gilligan was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1993. Peter had worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 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
September 30, 2013 - February 11, 2022
SYMETRA SECURITIES, INC.
May 4, 2011 - September 30, 2013
SIGNATOR FINANCIAL SERVICES, INC.
July 27, 2009 - November 23, 2009
NYLIFE DISTRIBUTORS LLC
January 23, 2007 - February 5, 2009
SIGNATOR FINANCIAL SERVICES, INC.
January 19, 2007 - February 5, 2009
SIGNATOR FINANCIAL SERVICES, INC.
October 3, 2006 - December 18, 2006
BMO HARRIS FINANCIAL ADVISORS, INC.
October 3, 2006 - December 18, 2006
BMO HARRIS FINANCIAL ADVISORS, INC.
May 17, 2006 - October 9, 2006
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
January 14, 2003 - May 18, 2006
LASALLE FINANCIAL SERVICES, INC.
January 14, 2003 - May 18, 2006
LASALLE FINANCIAL SERVICES, INC.
October 19, 2001 - January 14, 2003
LASALLE FINANCIAL SERVICES, INC.
July 2, 1998 - January 14, 2003
LASALLE FINANCIAL SERVICES, INC.
December 15, 1997 - July 8, 1998
ASSOCIATED INVESTMENT SERVICES, INC.
July 23, 1994 - December 15, 1997
ESSEX NATIONAL SECURITIES, LLC
July 30, 1993 - June 6, 1994
METROPOLITAN LIFE INSURANCE COMPANY
July 30, 1993 - June 6, 1994
MSI FINANCIAL SERVICES, INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SYMETRA SECURITIES, INC.
CRD#: 739 / SEC#: , 8-13470
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYMETRA FINANCIAL CORPORATION | OWNER | |
| BALKOVETZ, CHANTEL LEE | DIRECTOR | 2490011 |
| DIMITRI, DAVID MICHAEL | SECRETARY | 4806001 |
| DOW, SHANEN LYNN | ASSISTANT TREASURER | 7676848 |
| ELLIS, COURTNEY LYNN | CHIEF OPERATING OFFICER | 5460601 |
| FARRELL, ANDREW MICHAEL | PRESIDENT, DIRECTOR | 4463467 |
| HANSON, COLLEEN | ASSISTANT VICE PRESIDENT, FINANCIAL AND OPERATIONS PRINCIPAL | 7271134 |
| MURPHY, COLLEEN MARY | DIRECTOR | 4842602 |
| NORBERG, KRISTIN ROUST | VICE PRESIDENT | 7033021 |
| OBERDECK, ANDREW A | ASSISTANT SECRETARY | 8015633 |
| OTTO, JOSEPHINE R | ASSISTANT SECRETARY | 8015301 |
| RABIN, KEVIN WILLIAM | DIRECTOR | 7033042 |
| SANDERS, BARBARA ANN | CHIEF COMPLIANCE OFFICER | 2206030 |
Disclosures
| Regulatory 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.
