Randolph G. Peyton
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.
Randolph Grasty Peyton SR, who also goes by Randolph Grasty Peyton, Randy Grasty Peyton Sr, Randy Peyton Sr, was a registered financial professional .
Randolph is a previously registered financial professional and started their career in finance in 1968. Randolph had worked at 8 firms and has passed the Series 63, Series 65, Series 15, Series 5, PC, Series 1, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 1994 - June 11, 1997
MORGAN STANLEY DW INC.
August 18, 1993 - October 13, 1994
KIDDER, PEABODY & CO. INCORPORATED
November 16, 1989 - August 12, 1993
MORGAN STANLEY DW INC.
June 25, 1979 - November 25, 1989
LEHMAN BROTHERS INC.
January 18, 1978 - June 25, 1979
LOEB PARTNERS
January 4, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
October 17, 1974 - January 4, 1977
LOEB, RHOADES & CO. INC.
April 30, 1971 - December 26, 1974
BLYTH EASTMAN DILLON & CO. INCORPORATED
January 19, 1968 - April 30, 1971
EASTMAN DILLON UNION SECURITIES AND CO
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: 8/10/1988
Foreign Currency Options ExaminationSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 1/17/1968
Registered Representative ExaminationSeries 12
Date: 6/25/1968
NYSE Branch Manager ExaminationCurrent Firm
MORGAN STANLEY DW INC.
CRD#: 7556 / SEC#: , 8-14172
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY | PARENT | |
| CHENG, NOLAND | CHIEF OPERATIONS OFFICER | 2072097 |
| CIMINERA, LAURA | CROP | 1388279 |
| GELFAND, JEFFREY ALLEN | CHIEF FINANCIAL OFFICER | |
| GORMAN, JAMES PATRICK | PRESIDENT,CHIEF OPERATING OFFICER,CHIEF EXECUTIVE OFFICER | 4026328 |
| GUEREN, RICHARD DANIEL | SROP, EXECUTIVE DIRECTOR | 1146589 |
| HANAN, SHELLEY SUZANNE | DIRECTOR | 1327260 |
| HARRIS, RAYMOND ALBERT JR | DIRECTOR | 1363371 |
| KNAPP, MATTHEW PAUL | CHIEF COMPLIANCE OFFICER FOR ADVISORY BUSINESS | 2514353 |
| MCMAHON, WILLIAM A | MANAGING DIRECTOR | 703705 |
| OROSCHAKOFF, MICHELLE | COMPLIANCE DIRECTOR FOR BROKER DEALER | 2403199 |
| WICKMAN, KIRK PETER | GENERAL COUNSEL, MANAGING DIRECTOR, DIRECTOR |
Disclosures
| Regulatory Event | 152 |
| Arbitration | 606 |
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.
