Peter A. Carnathan
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 Arthur Carnathan, CFP®, who also goes by Peter A Carnathan, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1995. Peter had worked at 14 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
February 11, 2020 - March 13, 2024
CITIZENS PRIVATE WEALTH
February 3, 2017 - February 3, 2020
UNITED BROKERAGE SERVICES, INC
February 1, 2017 - February 3, 2020
UNITED BROKERAGE SERVICES, INC
February 26, 2016 - January 18, 2017
BB&T INVESTMENT SERVICES, INC.
February 23, 2016 - January 18, 2017
BB&T INVESTMENT SERVICES, INC.
September 12, 2013 - August 20, 2015
M&T SECURITIES, INC.
September 12, 2013 - August 20, 2015
M&T SECURITIES, INC.
January 2, 2013 - June 3, 2013
SIGNATOR INVESTORS, INC.
December 3, 2012 - May 28, 2013
SEIA
February 28, 2007 - December 10, 2012
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
August 2, 2006 - November 16, 2006
CITICORP INVESTMENT SERVICES
May 22, 2006 - November 16, 2006
CITICORP INVESTMENT SERVICES
October 11, 2005 - May 1, 2006
UST SECURITIES CORP.
November 25, 2002 - August 9, 2004
MBSC, LLC
November 18, 2002 - August 9, 2004
MBSC, LLC
April 5, 2002 - December 3, 2002
BNY MELLON CAPITAL MARKETS, LLC
December 20, 2000 - August 7, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 7, 2000 - December 14, 2000
CIBC WORLD MARKETS CORP.
October 13, 1997 - June 9, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 21, 1995 - October 27, 1995
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
CITIZENS PRIVATE WEALTH
CRD#: 106743 / SEC#: 801-40835
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 PRIVATE WEALTH
CRD#: 106743 / SEC#: 801-40835
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 7,846 |
| AUM (Assets Under Management) | $ 12,182,945,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 07/28/2023 | ||
| 10/28/2022 |
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.
