Peter Thomas Mcgrath
Professional Summary
Peter Thomas Mcgrath is a registered financial advisor currently at SETTER CAPITAL INC.. Peter is registered as a RR (Registered Representative) and started their career in finance in 2007. Peter has worked at 1 firm and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 37, Series 14, Series 28 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
20 years in the financial services industry
Current & Past Employments
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Current Firm
SETTER CAPITAL INC.
Contact Information
Main Address
2 Bloor Street West Suite 1700, Toronto, Ontario, M4W 3E2Mailing Address
2 Bloor Street West Suite 1700, Toronto, Ontario, M4W 3E2Phone Number
(416) 964-9555Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (27 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(1/9/2023)
(3/22/2021)
(10/14/2020)
(3/22/2021)
(1/6/2023)
(1/26/2023)
(7/6/2021)
(2/22/2021)
(2/22/2023)
(1/5/2023)
(1/5/2023)
(3/18/2021)
(1/21/2021)
(2/8/2021)
(5/21/2021)
(3/31/2021)
(3/29/2021)
(3/22/2021)
(3/22/2021)
(1/20/2023)
(1/6/2021)
(3/22/2021)
(1/21/2021)
(3/15/2021)
(1/4/2021)
(1/11/2023)
(5/8/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 37 — Canada Module of the General Securities Registered Representative (With Options Questions)
Passed Sep 2006Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Sep 2006About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Peter Thomas Mcgrath's CRS (Customer Relationship Summary).
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