Peter W. Leist
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 William Leist, AIF®, who also goes by Peter Leist, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1994. Peter had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2020 - June 6, 2024
CADARET, GRANT & CO., INC.
September 10, 2020 - June 6, 2024
CADARET, GRANT & CO., INC.
January 15, 2019 - September 15, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
January 15, 2019 - September 15, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
February 13, 2009 - January 24, 2019
LPL FINANCIAL LLC
February 13, 2009 - January 24, 2019
LPL FINANCIAL LLC
May 8, 2002 - March 5, 2009
CITIGROUP GLOBAL MARKETS INC.
February 26, 2001 - March 5, 2009
CITIGROUP GLOBAL MARKETS INC.
April 8, 1994 - March 22, 2001
RYAN BECK & CO.
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
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
