Peter G. Nealon
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 Gordon Nealon, who also goes by Peter Nealon, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1993. Peter had worked at 4 firms and has passed the Series 63, SIE, Series 7 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
June 28, 2013 - October 31, 2023
ANZ SECURITIES, INC.
April 7, 2003 - November 27, 2007
HSBC SECURITIES (USA) INC.
December 18, 1998 - August 20, 2001
CITIGROUP GLOBAL MARKETS INC.
December 7, 1993 - December 18, 1998
CITICORP SECURITIES, 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
Current Firm
ANZ SECURITIES, INC.
CRD#: 36654 / SEC#: , 8-47390
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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