Peter L. Winslow
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 Laverack Winslow was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1970. Peter had worked at 5 firms and has passed the Series 63, Series 41 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 1992 - July 15, 2004
WINSLOW, EVANS & CROCKER, INC.
January 4, 1991 - April 24, 1992
GAGE-WILEY & CO., INC.
May 5, 1986 - January 1, 1991
WINGATE CAPITAL CORPORATION
August 22, 1973 - May 1, 1986
MOORS & CABOT, INC.
July 30, 1970 - September 15, 1973
F. S. MOSELEY & CO.
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
Series 41
Date: 1/1/1957
NYSE Allied Member ExaminationCurrent Firm
WINSLOW, EVANS & CROCKER, INC.
CRD#: 29686 / SEC#: 801-63905, 8-44347
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | SOLE SHAREHOLDER | |
| BERLINE, LEONID | CHIEF COMPLIANCE OFFICER | 3027633 |
Disclosures
| Regulatory Event | 4 |
| Bond | 1 |
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.
