Peter M. Walcott
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 Matthews Walcott was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2001. Peter had worked at 5 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2018 - December 31, 2018
WEALTH & WISDOM, LLC
September 27, 2012 - December 14, 2015
QUANTUM LEAP CAPITAL, LLC
April 12, 2011 - August 15, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
March 31, 2011 - August 15, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
March 6, 2008 - April 7, 2010
HORNOR, TOWNSEND & KENT, LLC
February 19, 2008 - April 7, 2010
HORNOR, TOWNSEND & KENT, LLC
May 2, 2002 - January 4, 2008
NEW ENGLAND SECURITIES
June 8, 2001 - January 4, 2008
NEW ENGLAND SECURITIES
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
Current Firm
WEALTH & WISDOM, LLC
CRD#: 174388 / SEC#:
Contact information
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.
