Peter O. Skoglund
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 Otto Skoglund was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1971. Peter had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 1, Series 8 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
January 17, 2003 - June 23, 2016
CREDIT SUISSE SECURITIES (USA) LLC
January 17, 2003 - June 23, 2016
CREDIT SUISSE SECURITIES (USA) LLC
June 13, 1998 - January 17, 2003
PERSHING LLC
June 15, 1992 - January 17, 2003
PERSHING LLC
May 26, 1989 - June 16, 1992
UBS FINANCIAL SERVICES INC.
March 12, 1985 - June 17, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
May 11, 1977 - March 22, 1985
THOMSON MCKINNON SECURITIES INC.
August 6, 1975 - April 27, 1977
BECKER SECURITIES INCORPORATED
March 24, 1971 - July 30, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 1
Date: 3/19/1971
Registered Representative ExaminationSeries 8
Date: 7/10/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 11/4/1977
Registered Principal ExaminationCurrent Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
