Peter A. Petitt
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 Andrew Petitt, who also goes by Peter Petitt, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1996. Peter had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2021 - September 26, 2024
AON SECURITIES LLC
November 2, 2016 - August 22, 2019
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 7, 2004 - August 27, 2013
COWEN AND COMPANY
February 12, 2004 - March 30, 2004
W.R. HAMBRECHT + CO., LLC
April 1, 2003 - January 22, 2004
SOUNDVIEW TECHNOLOGY CORPORATION
September 29, 1999 - August 27, 2002
ROBERTSON STEPHENS, INC.
July 8, 1998 - September 1, 1998
BANC OF AMERICA SECURITIES LLC
May 31, 1996 - October 27, 1997
J.P. MORGAN SECURITIES INC.
Primary Firm SEC Registration
AON SECURITIES LLC
CRD#: 4138 / SEC#: 801-106546, 8-14953
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
AON SECURITIES LLC
CRD#: 4138 / SEC#: 801-106546, 8-14953
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AON GROUP, INC. | SHAREHOLDER | |
| AS HOLDINGS, INC. | SHAREHOLDER | |
| CHAMBLEY, JEFFREY TODD | DIRECTOR | 3129456 |
| DELANEY, WILLIAM LEO JR | DIRECTOR (01/1999)/PRESIDENT (06/2000)/GENERAL SECURITIES PRINCIPAL (01/2001) | 1997937 |
| EHRHART, BRYON GERARD | DIRECTOR (05/2002) | 2932770 |
| MACKUNIS, KENNETH JAMES | DIRECTOR | 2612504 |
| MONAGHAN, KATHLEEN NICOLE | DIRECTOR | 6833059 |
| MORRIS, GREGORY PAUL | CHIEF COMPLIANCE OFFICER | 1317320 |
| PASALICH, MAGDALINE GARRIS | DIRECTOR, CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 7143931 |
| PENNAY, RICHARD ERIK CHARLES | CEO (10/2024), DIRECTOR | 5475857 |
| WARD, BRYAN RICHARD | DIRECTOR | 3107835 |
Disclosures
| Regulatory Event | 3 |
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.
