Peter C. Neall
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 Curtin Neall was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1972. Peter had worked at 6 firms and has passed the Series 63, Series 15, Series 5, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2013 - March 30, 2026
DORSET ASSET MANAGEMENT LLC.
July 30, 2009 - August 13, 2013
BOENNING & SCATTERGOOD, INC.
October 25, 2004 - August 13, 2013
BOENNING & SCATTERGOOD, INC.
January 2, 1987 - November 17, 2004
JANNEY MONTGOMERY SCOTT LLC
February 24, 1978 - January 14, 1987
MORGAN STANLEY DW INC.
September 8, 1976 - February 24, 1978
REYNOLDS SECURITIES, INC.
November 14, 1972 - October 18, 1976
CITIGROUP GLOBAL MARKETS INC.
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 15
Date: 3/18/1985
Foreign Currency Options ExaminationSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationPC
Date: 4/1/1977
AMEX Put and Call ExamSeries 1
Date: 11/10/1972
Registered Representative ExaminationCurrent Firm
DORSET ASSET MANAGEMENT LLC.
CRD#: 169451 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 9 |
| AUM (Assets Under Management) | $ 8,765,314 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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