Peter J. Baird
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 Joseph Baird, who also goes by Peter Baird, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2003. Peter had worked at 5 firms and has passed the Series 66, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2013 - August 14, 2014
FIDELITY BROKERAGE SERVICES LLC
March 9, 2012 - June 25, 2013
WELLS FARGO CLEARING SERVICES, LLC
February 20, 2012 - June 25, 2013
WELLS FARGO CLEARING SERVICES, LLC
October 16, 2006 - January 12, 2007
CHASE INVESTMENT SERVICES CORP.
October 16, 2006 - January 12, 2007
CHASE INVESTMENT SERVICES CORP.
July 22, 2005 - October 10, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 22, 2005 - October 10, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 4, 2003 - August 18, 2005
UBS FINANCIAL SERVICES INC.
March 17, 2003 - August 18, 2005
UBS FINANCIAL SERVICES 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
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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