Peter H. Johnson
Professional summary
Peter Hallock Johnson, who also goes by Peter Johnson, is a registered financial professional currently at DWM FINANCE LLC located in Stamford, Connecticut.
Peter is registered as a RR (Registered Representative) and started their career in finance in 2005. Peter has worked at 2 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter Hallock Johnson's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 18, 2006 - Present
DWM FINANCE LLC
Office #1: 100 First Stamford Place 4th Floor Suite 450, Stamford, CT 06902Office #2: 100 First Stamford Place 4th Floor Suite 450, Stamford, CT 06902May 18, 2005 - October 9, 2006
FDX CAPITAL LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/20/2009)
(9/18/2006)
(9/19/2008)
(9/25/2008)
(3/29/2016)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
DWM FINANCE LLC
CRD#: 137513 / SEC#: , 8-67091
Contact information
FINRA licenses (5 States and Territories)
Documents
Red Flags
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