Peter S. Stuart
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 Stellings Stuart 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 63, Series 55 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 19, 2010 - April 13, 2012
CANACCORD GENUITY LLC
June 26, 2009 - February 8, 2010
FTN EQUITY CAPITAL MARKETS CORP.
October 25, 1999 - December 11, 2008
JEFFERIES LLC
February 5, 1999 - October 21, 1999
HCFP BRENNER SECURITIES, LLC
October 21, 1998 - February 5, 1999
LOEWENBAUM & COMPANY INCORPORATED
June 4, 1998 - October 7, 1998
DB ALEX. BROWN LLC
October 28, 1997 - April 23, 1998
NATWEST SECURITIES CORPORATION
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: 12/7/1998
Limited Representative-Equity Trader ExamCurrent Firm
CANACCORD GENUITY LLC
CRD#: 1020 / SEC#: , 8-3271
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | |
| ANDERSON, SCOTT WINFREE | CHIEF COMPLIANCE OFFICER | 5800524 |
| BARLOW, JEFFREY GRIFFIN | CHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE DIRECTOR | 2277052 |
| DAVIAU, DANIEL JOSEPH | NON- EXECUTIVE DIRECTOR | 6096472 |
| MACFAYDEN, DONALD DUNCAN | EXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL | 5390198 |
| PARDI SQUITIERI, JENNIFER ELLEN | EXECUTIVE DIRECTOR | 4922719 |
| PROUD, EMILY PRESSMAN | CHIEF OPERATING OFFICER | 5815542 |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL |
Disclosures
| Regulatory Event | 45 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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