Peter A. Harrison
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 Harrison was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1998. Peter had worked at 7 firms and has passed the Series 63, Series 99TO, Series 79TO, 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
February 21, 2017 - March 6, 2024
FINANCE OF AMERICA SECURITIES LLC
March 3, 2014 - December 28, 2015
B. RILEY WEALTH MANAGEMENT
June 9, 2010 - March 19, 2014
BANC OF MANHATTAN CAPITAL
March 16, 2010 - April 6, 2010
ICBA SECURITIES
March 16, 2010 - April 30, 2010
VINING-SPARKS IBG, LLC
January 20, 2009 - December 22, 2009
KNIGHT LIBERTAS LLC
October 21, 1998 - September 9, 2008
COUNTRYWIDE 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
FINANCE OF AMERICA SECURITIES LLC
CRD#: 284464 / SEC#: , 8-69803
Contact information
FINRA licenses (4 States and Territories)
Documents
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.
