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Peter J. Snook

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CRD#: 4414019
PS

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 James Snook, who also goes by Peter James Shook, Pete James Snook, was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 2006. Peter had worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Peter James Shook | Pete James Snook

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 8, 2016 - February 15, 2018

INTL FCSTONE CREDIT TRADING LLC

BD
CRD#: 41025
NEW YORK, NY
Past

July 14, 2006 - March 8, 2016

SCOTIA CAPITAL (USA) INC.

BD
CRD#: 2739
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/15/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/15/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/13/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/1/2015
General Securities Principal Examination

Current Firm

IF
INTL FCSTONE CREDIT TRADING LLC
GMP SECURITIES | MILLER TABAK ROBERTS SECURITIES, LLC | MILLER ANDREW ROBERTS, LLC | MILLER ANDREW ROBERTS & CO. INC. | INTL FCSTONE CREDIT TRADING LLC | GMP SECURITIES, LLC

CRD#: 41025 / SEC#: , 8-49291

BD
Terminated by SEC on 07/09/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 10/28/1998
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
INTL FCSTONE FINANCIAL INC.100% SHAREHOLDER45993
BOLTE, DAVID ALBERTSECRETARY2711410
LYON, CHARLES MARTINDIRECTOR, PRESIDENT, CEO4000852
O'CONNOR, SEAN MICHAELDIRECTOR2534352
PAVERMAN, MARK ELLIOTCHIEF COMPLIANCE OFFICER1046105
PORZIO, JOSEPH JOHNCHIEF FINANCIAL OFFICER1319702

Disclosures

Regulatory Event5
Arbitration1

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.

Company Information

INTL FCSTONE CREDIT TRADING LLC

CRD#: 41025

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