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Peter W. Rothe

WILLIAM O'NEIL SECURITIES
BOSTON, MA 02110
Some features on this profile are disabled
CRD#: 4538292
PR

Professional summary

Peter William Rothe is a registered financial professional currently at WILLIAM O'NEIL SECURITIES located in Boston, Massachusetts.

Peter is registered as a RR (Registered Representative) and started their career in finance in 2002. Peter has worked at 3 firms and has passed the Series 63, SIE, Series 87, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Peter William Rothe's CRS (Customer Relationship Summary).

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

Current

January 24, 2023 - Present

WILLIAM O'NEIL SECURITIES

Office #1: 211 Congress Street 5th Floor Suite B, Boston, MA, 02110
BD
CRD#: 894
BOSTON, MA
Past

August 13, 2014 - December 1, 2022

ARETE RESEARCH LLC

BD
CRD#: 128496
BOSTON, MA
Past

July 2, 2002 - June 24, 2014

JEFFERIES LLC

BD
CRD#: 2347
BOSTON, MA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Massachusetts
(3/31/2023)
RR
New York
(3/31/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 5/16/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 11/9/2004
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 7/1/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/16/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WO
WILLIAM O'NEIL SECURITIES
O'NEIL SECURITIES INCORPORATED | WILLIAM O'NEIL SECURITIES INCORPORATED | WILLIAM O'NEIL SECURITIES | WILLIAM O'NEIL & COMPANY, INCORPORATED | WILLIAM O'NEIL & CO., INCORPORATED | WILLIAM O'NEIL & CO. INCORPORATED | O'NEIL SECURITIES, INCORPORATED

CRD#: 894 / SEC#: , 8-11763

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
211 Congress Street 5th Floor Suite B, Boston, MA, 02110
Mailing Address
211 Congress Street 5th Floor Suite B, Boston, MA, 02110
Phone number
(617) 936-8584
Established
California since 11/07/1963
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
O'NEIL CAPITAL MANAGEMENT INC.PARENT COMPANY
ACHEKIAN, TROFINANCE MANAGER, FINOP7864191
JANNETTA, GREGORY SAMUELCHIEF EXECUTIVE OFFICER2557823
MASOTTI, ALEXANDER VICTORGENERAL COUNSEL & CHIEF COMPLIANCE OFFICER6375390

Disclosures

Regulatory Event4

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

WILLIAM O'NEIL SECURITIES

CRD#: 894Boston, MA 02110

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