Peter P. Mcgee
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 Pascal Mcgee was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1970. Peter had worked at 7 firms and has passed the PC and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 1997 - January 10, 2003
CARLIN EQUITIES, LLC
July 1, 1986 - May 20, 1997
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
April 9, 1985 - February 24, 1987
MURPHEY, MARSEILLES, SMITH & NAMMACK
September 20, 1978 - April 8, 1985
BREAN MURRAY & CO., INC.
April 2, 1976 - October 9, 1978
JESUP & LAMONT SECURITIES CO., INC.
April 1, 1974 - March 23, 1976
PURCELL GRAHAM INCORPORATED
September 18, 1970 - February 15, 1973
HAVENFIELD 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
PC
Date: 10/1/1977
AMEX Put and Call ExamSeries 40
Date: 4/21/1969
Registered Principal ExaminationCurrent Firm
CARLIN EQUITIES, LLC
CRD#: 31295 / SEC#: , 8-40963
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARLIN GROUP LLC | OWNER OF CARLIN EQUITIES LLC | |
| BERNSTEIN, SAMUEL H | CHIEF STRATEGIC OFFICER | 2183676 |
| FEIG, ROBERT | VICE PRESIDENT, SALES | 871895 |
| FROMMER, JEREMY PHILLIP | PRESIDENT | 2099159 |
| FROMMER, JEREMY PHILLIP | CHIEF EXECUTIVE OFFICER | 2099159 |
| PORTNOI, ALAN SCOTT | MANAGING DIRECTOR, INSTITUTIONAL SALES | 1537825 |
| SHAH, UPENDRA KANTILAL | CHIEF INFORMATION OFFICER | |
| SHEAR, RONALD HENRY | CHAIRMAN | 420846 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
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.
