Peter E. Vale

DFA SECURITIES LLC

Charlotte, NC 28203

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CRD#: 5857311

Professional summary

Peter Edward Christopher Vale, who also goes by Peter Vale, is a registered financial professional currently at DFA SECURITIES LLC located in Charlotte, North Carolina.

Peter is registered as a RR (Registered Representative) and started their career in finance in 2010. Peter has worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Peter Vale

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Peter Edward Christopher Vale's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 10, 2023 - Present

DFA SECURITIES LLC

Office #1: 1515 South Tryon Street, Charlotte, NC 28203

CRD#: 10292

Charlotte, NC

Past

December 1, 2018 - August 6, 2020

MORGAN STANLEY

RIA

CRD#: 149777

NEW YORK, NY

Past

November 15, 2013 - August 6, 2020

MORGAN STANLEY

CRD#: 149777

NEW YORK, NY

Past

November 12, 2010 - May 20, 2013

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alaska
(8/20/2024)

Hawaii
(8/22/2024)

North Carolina
(3/20/2023)

Puerto Rico
(9/13/2024)

Tennessee
(8/21/2024)

Virgin Islands
(8/30/2024)

Exams

State Security Law Exam

Series 63

Date: 3/15/2023

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/1/2018

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/11/2010

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

DFA SECURITIES LLC

DFA SECURITIES INC. | DFA SECURITIES LLC

CRD#: 10292 / SEC#: , 8-27006

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

6300 Bee Cave Road Building One, Austin, TX 78746

Mailing Address

6300 Bee Cave Road Building One, Austin, TX 78746

Phone number

(512) 306-7400

Established

Delaware since 04/06/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
DIMENSIONAL FUND ADVISORS LP	DELAWARE LP AND SOLE MEMBER OF DFAS
BOOTH, DAVID GILBERT	CHAIRMAN	1031000
BUTLER, DAVID PAUL	CO-CHIEF EXECUTIVE OFFICER	2305298
DALLMER, LISA MICHELE	CHIEF OPERATING OFFICER	2586913
GRZELAK, BERNARD JAMES	CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL, AND PRINCIPAL OPERATING OFFICER	4285750
NEWELL, CATHERINE LEE	VICE PRESIDENT AND SECRETARY	2890628
NOTELOVITZ, SELWYN JUSTIN	GLOBAL CHIEF COMPLIANCE OFFICER	2886676
O'REILLY, GERARD KIERAN	CO-CHIEF EXECUTIVE OFFICER AND CO-CIO	4982644

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Peter E. Vale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Peter Edward Christopher Vale's CRS (Customer Relationship Summary).

Certified licenses

Experience

DFA SECURITIES LLC

MORGAN STANLEY

MORGAN STANLEY

BARCLAYS CAPITAL INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/15/2023

Series 65

Date: 12/1/2018

SIE

Date: 10/1/2018

Series 7

Date: 11/11/2010

FINRA

Current Firm

DFA SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

DFA SECURITIES LLC

TRUST BUT VERIFY

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