Peter C. Lowry
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 Caldwell Lowry was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1997. Peter had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86 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
March 26, 2018 - March 4, 2019
CITIZENS JMP SECURITIES, LLC
June 28, 2011 - April 12, 2016
CITIZENS JMP SECURITIES, LLC
April 14, 2010 - June 7, 2011
ION PARTNERS LLC
April 18, 2006 - December 11, 2008
DEUTSCHE BANK SECURITIES INC.
April 18, 2006 - December 11, 2008
DEUTSCHE BANK SECURITIES INC.
April 23, 2004 - February 17, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 23, 2004 - February 17, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 26, 2001 - December 20, 2002
UBS SECURITIES LLC
July 28, 1998 - March 8, 2001
LEHMAN BROTHERS INC.
April 9, 1997 - June 26, 1998
SCHRODER & CO. 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
CITIZENS JMP SECURITIES, LLC
CRD#: 22208 / SEC#: , 8-39613
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JMP HOLDING LLC | PARENT COMPANY | |
| CONROY, WALTER IVOR | GENERAL COUNSEL | 6641487 |
| GREGORY, JOHN | PRESIDENT | 4600619 |
| JACKSON, RAYMOND SIVA | CHIEF FINANCIAL OFFICER | 5563363 |
| MANNING, SIMON STONE | SENIOR REGISTERED OPTIONS PRINCIPAL (SROP) | 1941279 |
| MCLAUGHLIN, BRENDAN | CHIEF COMPLIANCE OFFICER | 2562815 |
| O'DAY, JAMES CORTLAND | HEAD OF EQUITIES | 5618215 |
| SLADER, GAVIN WILLEY | HEAD OF INVESTMENT BANKING | 4130019 |
| SPURR, JEFFREY HOLMES | HEAD OF RESEARCH | 1384716 |
| SUCHY, GREGORY JOHN | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 5907019 |
| WHITEHEAD, AIDAN PETER | HEAD OF TRADING & SALES TRADING | 2474257 |
| XIAO, ZHUO VIVIAN XUAN | FINOP | 5121578 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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