Peter Q. Thompson
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 Quentin Thompson, who also goes by Peter Q Thompson, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1994. Peter had worked at 4 firms and has passed the Series 63, Series 79TO 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 1, 2020 - January 23, 2024
LAZARD FRERES & CO. LLC
December 14, 2010 - January 26, 2015
JANUS HENDERSON DISTRIBUTORS US LLC
May 15, 1995 - January 9, 2007
ARIEL DISTRIBUTORS, LLC
October 17, 1994 - May 15, 1995
ARIEL CAPITAL MANAGEMENT, 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
Series 79TO
Date: 8/31/2020
Investment Banking Registered Representative ExaminationCurrent Firm
LAZARD FRERES & CO. LLC
CRD#: 2528 / SEC#: , 8-2595
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 14 |
| Civil Event | 2 |
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.
