Peter Stipp
Professional Summary
Peter Stipp was a registered financial advisor. Peter was a previously registered financial professional and started their career in finance 2007 - 2010. Peter had worked at 2 firms and has passed the Series 27 exam.
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
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Contact Information
No current employment
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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
19 years in the financial services industry
Current & Past Employments
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Current Firm
PAINEWEBBER SERVICES INC. | UBS SERVICES USA LLC | UBS PAINEWEBBER SERVICES, LLC | UBS PAINEWEBBER SERVICES INC.
Contact Information
Established
Delaware since 12/03/1996Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | — |
| BURCHARD, ROGER FRANK | CHIEF COMPLIANCE OFFICER | 1847103 |
| FREY, WILLIAM PATRICK | CHIEF FINANCIAL OFFICER | 2369814 |
| FRIMMEL, DIANE | PRESIDENT, CHIEF EXECUTIVE OFFICER, CHIEF OPERATING OFFICER | 2053020 |
| KING, TAMBRA SUZANNE | CORPORATE SECRETARY | 2212318 |
| SHELTON, MARK STEVEN | GENERAL COUNSEL, EXECUTIVE VICE PRESIDENT | 4784512 |
| STIPP, PETER | MANAGING DIRECTOR OF OPERATIONS | 5290752 |
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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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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