Peter D. Thompson
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 D Thompson, who also goes by Peter Dean Thompson, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2011. Peter had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2017 - December 31, 2017
PDT FINANCIAL LLC
July 22, 2014 - December 23, 2014
MORGAN STANLEY
July 9, 2014 - December 23, 2014
MORGAN STANLEY
August 11, 2011 - July 22, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 20, 2011 - July 22, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
PDT FINANCIAL LLC
CRD#: 285494 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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