Peter G. Byrne
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 Gerard Byrne was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1994. Peter had worked at 9 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2015 - October 24, 2017
TOCQUEVILLE SECURITIES L.P.
July 7, 2009 - August 20, 2010
THS LTD.
June 10, 2009 - June 24, 2009
NYPPEX, LLC
April 13, 2007 - May 18, 2009
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
April 4, 2007 - May 18, 2009
HERBERT J. SIMS & CO, INC.
January 26, 2005 - February 16, 2007
CHASE INVESTMENT SERVICES CORP.
January 25, 2005 - February 16, 2007
CHASE INVESTMENT SERVICES CORP.
July 15, 2003 - December 31, 2004
CHASE INVESTMENT SERVICES CORP.
August 21, 2002 - November 12, 2002
EVOLUTION FINANCIAL TECHNOLOGIES, LLC
January 1, 1995 - January 20, 1997
UBS FINANCIAL SERVICES INC.
November 16, 1994 - February 5, 1996
LCP CAPITAL CORP.
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 55
Date: 8/20/2002
Limited Representative-Equity Trader ExamCurrent Firm
TOCQUEVILLE SECURITIES L.P.
CRD#: 26001 / SEC#: , 8-42223
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOCQUEVILLE ASSET MANAGEMENT L.P. | LIMITED PARTNER | |
| CHUN, YUEN NA | FINOP | 2219603 |
| GRAHAM, KELSEY DUBOIS III | CHIEF COMPLIANCE OFFICER | 5976494 |
| KLEINSCHMIDT, ROBERT WILLIAM | CEO & GSP | 855215 |
| SCHLESINGER, SCOTT IRA | PRESIDENT, CHIEF OPERATING OFFICER & GSP | 1252675 |
| TOCQUEVILLE MANAGEMENT CORPORATION | GENERAL PARTNER |
Disclosures
| Regulatory Event | 4 |
Red Flags
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