Gordon N. Peay
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.
Gordon Neill Peay, who also goes by Gordon N Peay, was a registered financial professional .
Gordon is a previously registered financial professional and started their career in finance in 1968. Gordon had worked at 13 firms and has passed the Series 63, SIE, Series 1 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
September 27, 2012 - October 8, 2020
NWF ADVISORY SERVICES INC
September 19, 2012 - October 6, 2020
OSAIC WEALTH, INC.
October 31, 2005 - September 20, 2012
OSAIC SERVICES, INC.
October 31, 2005 - September 20, 2012
OSAIC SERVICES, INC.
December 16, 1997 - October 31, 2005
SENTRA SECURITIES CORPORATION
April 16, 1997 - October 31, 2005
SENTRA SECURITIES CORPORATION
August 1, 1995 - April 16, 1997
LAGUNA SECURITIES, INC.
July 21, 1993 - August 1, 1995
WEALTH RESOURCE CAPITAL CORPORATION
October 8, 1992 - September 9, 1993
ASSOCIATED SECURITIES CORP.
June 26, 1985 - October 16, 1992
PIM FINANCIAL SERVICES, INC.
June 6, 1983 - June 28, 1985
ASSOCIATED SECURITIES CORP.
February 12, 1982 - May 16, 1983
BOARDWALK CAPITAL CORPORATION
August 3, 1979 - August 25, 1981
LPL FINANCIAL LLC
July 23, 1974 - August 22, 1977
HOME LIFE INSURANCE COMPANY
February 10, 1972 - January 7, 1974
EMPIRE SECURITIES CO OF S CALIF
July 3, 1968 - January 28, 1972
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
NWF ADVISORY SERVICES INC
CRD#: 110410 / SEC#: 801-55681
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 1
Date: 6/24/1968
Registered Representative ExaminationCurrent Firm
NWF ADVISORY SERVICES INC
CRD#: 110410 / SEC#: 801-55681
Contact information
SEC notice filing (24 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,979 |
| AUM (Assets Under Management) | $ 3,824,876,751 |
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.
