Peter J. Mcgowan

ACADEMY SECURITIES

New York, NY 10017

Some features on this profile are disabled

CRD#: 2386408

Professional summary

Peter Joseph Mcgowan, who also goes by Peter Josephg Mcgowan, Pj Mcgowan, P Joseph Mcgowan, is a registered financial professional currently at ACADEMY SECURITIES, INC. located in New York, New York.

Peter is registered as a RR (Registered Representative) and started their career in finance in 1995. Peter has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Peter Josephg Mcgowan | Pj Mcgowan | P Joseph Mcgowan

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) - BD

Click below to view Peter Joseph Mcgowan's CRS (Customer Relationship Summary).

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

Current

September 9, 2024 - Present

ACADEMY SECURITIES, INC.

Office #1: 622 3rd Avenue 12th Floor, New York, NY 10017

CRD#: 17433

New York, NY

Past

September 1, 2021 - February 7, 2023

NATALLIANCE SECURITIES, LLC

CRD#: 39455

New York, NY

Past

September 8, 2016 - June 1, 2021

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

June 1, 2009 - April 22, 2020

MORGAN STANLEY

CRD#: 149777

New York, NY

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

July 17, 1995 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(9/9/2024)

Exams

State Security Law Exam

Series 63

Date: 12/9/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/14/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/3/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ACADEMY SECURITIES, INC.

ACADEMY ASSET MANAGEMENT | STERLING INVESTMENT SERVICES, INC. | LASALLE BROKERAGE SERVICES, INC. | ACADEMY SECURITIES, INC.

CRD#: 17433 / SEC#: , 8-35173

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

622 3rd Avenue 12th Floor, New York, NY 10017

Mailing Address

622 3rd Avenue 12th Floor, New York, NY 10017

Phone number

(646) 736-3995

Established

Delaware since 11/07/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (38 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MIMS, RONALD CHANCE	CHAIRMAN, CEO	5637540
GRAHAM, ANTHONY R	FINOP	4959159
GRAHAM, ANTHONY R	PRINCIPAL OPERATIONS OFFICER	4959159
GRAHAM, ANTHONY R	PRINCIPAL FINANCIAL OFFICER	4959159
GRAHAM, ANTHONY R	COO	4959159
MCCONKEY, PHILIP JOSEPH	VICE CHAIRMAN	3253139
WILCOX, SPENCER HAMILTON	PRESIDENT	5802885
BOYD, MICHAEL BARTOW	CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL,REGISTERED OPTIONS PRINCIPAL, AML OFFICER	2557814

Disclosures

Regulatory Event

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Peter J. Mcgowan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Peter Joseph Mcgowan's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATALLIANCE SECURITIES, LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/9/2004

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/14/1995

Series 24

Date: 2/3/2006

FINRA

Current Firm

ACADEMY SECURITIES, INC.

Contact information

FINRA licenses (38 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ACADEMY SECURITIES, INC.

TRUST BUT VERIFY

Similar Advisors