Peter G. Ness
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 Gustav Ness was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2000. Peter had worked at 3 firms and has passed the Series 63, SIE, Series 62, Series 28 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
October 25, 2006 - December 20, 2016
ASCENTAGE ADVISORS, LLC
January 31, 2002 - August 4, 2005
ACG SECURITIES, LLC
July 24, 2000 - August 17, 2001
1ST BCCW CAPITAL CORP
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 62
Date: 7/21/2000
Corporate Securities Limited Representative ExaminationSeries 28
Date: 1/7/2002
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
ASCENTAGE ADVISORS, LLC
CRD#: 135446 / SEC#: , 8-66920
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OGDEN, RUSSELL ANDREW | MANAGING MEMBER, CCO | |
| CONNAUGHTON, MARY ZARRILLI | FINOP | 1612646 |
Red Flags
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