Peter N. Girgis
Professional summary
Peter N Girgis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Peter is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Peter had worked at 8 firms, which includes SW FINANCIAL, WORDEN CAPITAL MANAGEMENT LLC, LEGEND SECURITIES INC., JOSEPH GUNNAR & CO. LLC, BROOKSTONE SECURITIES INC., J.P. TURNER & COMPANY L.L.C., GUNNALLEN FINANCIAL INC, JOSEPH STEVENS & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2019 - September 14, 2022
SW FINANCIAL
November 4, 2016 - December 10, 2019
WORDEN CAPITAL MANAGEMENT LLC
August 29, 2013 - November 9, 2016
LEGEND SECURITIES, INC.
June 19, 2012 - June 7, 2013
JOSEPH GUNNAR & CO. LLC
October 20, 2009 - June 22, 2012
BROOKSTONE SECURITIES, INC.
August 1, 2006 - November 18, 2009
J.P. TURNER & COMPANY, L.L.C.
June 2, 2004 - August 2, 2006
GUNNALLEN FINANCIAL, INC
July 25, 2002 - June 24, 2004
JOSEPH STEVENS & CO., INC.
State Registrations and Notice Filings
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Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
Red Flags
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