Peter J. Laverty
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 Joseph Laverty was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1974. Peter had worked at 23 firms and has passed the Series 63, SIE, PC, Series 5, Series 000, Series 1 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
May 4, 2012 - October 19, 2015
DREXEL HAMILTON, LLC
November 7, 2011 - April 27, 2012
MIDLAND SECURITIES, LTD
April 27, 2010 - October 4, 2011
CAROLINA CAPITAL MARKETS, INC.
March 30, 2005 - June 7, 2006
FHN FINANCIAL SECURITIES CORP.
January 28, 2004 - September 10, 2004
GUGGENHEIM SECURITIES, LLC
May 6, 2002 - January 26, 2004
BGC FINANCIAL, L.P.
September 5, 2000 - May 6, 2002
APEX CLEARING CORPORATION
August 24, 2000 - September 5, 2000
ROBERTSON STEPHENS, INC.
November 22, 1999 - May 9, 2000
BNY CAPITAL MARKETS INC.
June 29, 1998 - November 15, 1999
UBS SECURITIES LLC
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
April 12, 1996 - September 2, 1997
SBC WARBURG, INC.
April 20, 1993 - February 9, 1996
CHASE SECURITIES, INC.
August 18, 1989 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
August 18, 1989 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
July 21, 1981 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
June 25, 1981 - April 6, 1993
LEHMAN BROTHERS INC.
June 20, 1979 - July 6, 1981
L. F. ROTHSCHILD & CO. INCORPORATED
January 24, 1979 - July 9, 1979
SMITH, BARNEY & CO. INCORPORATED
March 10, 1978 - February 24, 1979
PERSHING LLC
February 24, 1978 - March 10, 1978
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
May 23, 1975 - February 24, 1978
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
August 20, 1974 - March 27, 1975
LEHMAN BROTHERS INCORPORATED
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
PC
Date: 6/2/1983
AMEX Put and Call ExamSeries 5
Date: 11/12/1981
Interest Rate Options ExaminationSeries 000
Date: 8/15/1974
General Securities Principal ExaminationSeries 1
Date: 8/15/1974
Registered Representative ExaminationCurrent Firm
DREXEL HAMILTON, LLC
CRD#: 143570 / SEC#: , 8-67576
Contact information
FINRA licenses (41 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FELICE, ANTHONY PHILIP | CHIEF EXECUTIVE OFFICER | 4441607 |
| DOLL, LAWRENCE KIRK | OWNER | 5236486 |
| ELSAS, ROGER DEWITT | OWNER | 200659 |
| FAY, MELISSA JO HILER | OWNER | 5360445 |
| MARTINKO, JOHN CHRISTOPHER | OWNER | 5286067 |
| KIM, HYUNG S | OWNER | 5653676 |
| BRENNAN, PAUL FRANCIS | CHIEF OPERATING OFFICER | 2170928 |
| EDWARDS, JOHN WILLIAM JR. | CHIEF FINANCIAL OFFICER/FINOP | 1757360 |
| MAGEE, MARY BRENNAN | TRUSTEE, THE PAUL F. BRENNAN TRUST (DATED MAY 12, 2015) UNDER THE JOHN V. BRENNAN TRUST OF MAY 12, 2015 | |
| SANOK, EDWARD WILLIAM | CHIEF COMPLIANCE OFFICER | 6301272 |
| THE PAUL F. BRENNAN TRUST (DATED MAY 12, 2015) UNDER THE JOHN V. BRENNAN TRUST OF MAY 12, 2015 | OWNER |
Disclosures
| Regulatory Event | 3 |
Red Flags
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