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Peter David Downey

CRD# 2456331·Registered 1994 - 2009
Previously Registered: Being a previously registered professional could mean that Peter 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.

Professional Summary

Peter David Downey, who also goes by Peter Daivid Downey, was a registered financial advisor. Peter was a previously registered financial professional and started their career in finance 1994 - 2009. Peter had worked at 8 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Peter Daivid Downey

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

30 years in the financial services industry

Current & Past Employments

PEAK SECURITIES CORPORATION·CRD# 107907
BD
Boca Raton, FL
July 13, 2009 - November 13, 2009
PHD CAPITAL·CRD# 38785
BD
Holtsville, NY
April 15, 2009 - June 24, 2009
LH ROSS & COMPANY, INC.·CRD# 37920
BD
Boca Raton, FL
June 20, 2001 - September 5, 2001
ROYAL HUTTON SECURITIES CORP.·CRD# 14489
BD
New York, NY
May 20, 1998 - August 21, 2000
DUKE & CO., INC.·CRD# 8035
BD
New York, NY
September 4, 1996 - November 21, 1996
COMPREHENSIVE CAPITAL CORPORATION·CRD# 6215
BD
Great Neck, NY
March 27, 1996 - August 28, 1996
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
April 4, 1995 - May 17, 1995
HANOVER, STERLING & COMPANY LTD.·CRD# 15491
BD
New York, NY
March 3, 1994 - January 24, 1995

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Current Firm

PS
PEAK SECURITIES CORPORATION

INTER-AMERICAN SECURITIES, INC. | PEAK SECURITIES CORPORATION

CRD#: 107907 / SEC#: 8-53066
BD
Terminated by SEC on 03/08/2010

Contact Information

Established

Florida since 10/02/2000

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
PEAK CAPITAL CORPORATIONOWNER—
DUBE, DAVID WILLIAMPRESIDENT/CHIEF COMPLIANCE OFFICER3041983
MICHEL, JEFFREY WAYNEVICE PRESIDENT/REGISTERED OPTIONS PRINCIPAL & SROP/CROP2307698
PIDGEON, PHILLIP DFINANCIAL AND OPERATIONS PRINCIPAL4451631

Disclosures

Arbitration

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2009About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Apr 2009About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Dec 1997About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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