PM
Peter M. Mott
WILLIAM BLAIR
Chicago, IL 60606
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CRD#: 341587
PM
Professional summary
Peter Michael Mott is a registered financial advisor currently at WILLIAM BLAIR located in Chicago, Illinois.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Peter has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 15, Series 5, Series 3, PC, Series 1, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
ARMALY BRANDS, CHAIRMAN (NON EXECUTIVE) 3.09 MANUFACTURER AND DISTRIBUTOR OF HOUSEHOLD PRODUCTS.
INVESTOR SINCE 2003.
5 HOURS PER MONTH OUTSIDE OF BUSINESS HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Peter Michael Mott's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Peter Michael Mott's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 28, 2009 - Present
WILLIAM BLAIR
Office #1: The William Blair Building 150 North Riverside, Chicago, IL 60606RIA
BD
CRD#: 1252
Chicago, IL
Current
April 27, 2009 - Present
WILLIAM BLAIR
Office #1: The William Blair Building 150 North Riverside, Chicago, IL 60606RIA
BD
CRD#: 1252
Chicago, IL
Past
April 27, 2009 - April 27, 2009
WILLIAM BLAIR
RIA
CRD#: 1252
CHICAGO, IL
Past
January 16, 2001 - April 7, 2009
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
CHICAGO, IL
Past
January 13, 2001 - April 7, 2009
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
CHICAGO, IL
Past
January 17, 1998 - January 13, 2001
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Past
May 30, 1994 - October 9, 1997
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
May 19, 1978 - May 19, 1994
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
June 24, 1974 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
BD
CRD#: 488
Past
April 10, 1973 - July 26, 1974
CLARK, DODGE & CO., INCORPORATED
BD
CRD#: 161
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WILLIAM BLAIR
WILLIAM BLAIR | WILLIAM BLAIR & COMPANY L.L.C. | WILLIAM BLAIR & COMPANY
CRD#: 1252 / SEC#: 801-688, 8-2698
RIA
Registered Investment Advisory firm - SEC (12/24/1947 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Illinois(4/27/2009)
IAR
Illinois(4/28/2009)
RR
Indiana(7/6/2016)
RR
Massachusetts(5/8/2015)
RR
Michigan(10/31/2012)
RR
Pennsylvania(5/14/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 12/7/1995
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 11/9/1995
Interest Rate Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 8/15/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 4/5/1973
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 10/31/1984
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
WILLIAM BLAIR
WILLIAM BLAIR | WILLIAM BLAIR & COMPANY L.L.C. | WILLIAM BLAIR & COMPANY
CRD#: 1252 / SEC#: 801-688, 8-2698
RIA
Registered Investment Advisory firm - SEC (12/24/1947 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
The William Blair Building 150 North Riverside, Chicago, IL 60606
Mailing Address
The William Blair Building 150 North Riverside, Chicago, IL 60606-1594
Phone number
(312) 236-1600
Established
Delaware since 10/30/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
469
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WBC HOLDINGS, L.P. | HOLDING COMPANY | |
| CITARDI, CISSIE | EXECUTIVE COMMITTEE, GENERAL COUNSEL | 6642613 |
| DEVORE, RYAN JACOB | EXECUTIVE COMMITTEE | 3049671 |
| DUWA, ROBERT J | EXECUTIVE COMMITTEE | 2931296 |
| GLEDHILL, BRENT WALKER | PRESIDENT, CEO | 2921069 |
| MCLAUGHLIN, SCOTT THOMAS | EXECUTIVE COMMITTEE | 2481285 |
| QUINN, MICHAEL PATRICK | EXECUTIVE COMMITTEE | 3257072 |
| RASAVONGXAY, WILLSON B | CHIEF COMPLIANCE OFFICER | 6593731 |
| SATTERFIELD, BETH A | EXECUTIVE COMMITTEE | 6011858 |
| TOLE, STEVEN ROBERT | EXECUTIVE COMMITTEE | 5885283 |
| TRIMBERGER, MICHAEL WILLIAM | CFO | 5329834 |
| ZIMMER, MATTHEW MONTGOMERY | EXECUTIVE COMMITTEE | 4157826 |
Regulatory assets under management
| Total Number of Accounts | 37,973 |
| AUM (Assets Under Management) | $ 58,329,726,421 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
| Bond | 1 |
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.
