Peter J. Heffrin
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 James Heffrin, who also goes by Peter Heffrin, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2015. Peter had worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2016 - September 5, 2017
COVINGTON ASSOCIATES, LLC
July 27, 2015 - May 27, 2016
NOMURA SECURITIES INTERNATIONAL, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
COVINGTON ASSOCIATES, LLC
CRD#: 127437 / SEC#: , 8-65997
Contact information
FINRA licenses (16 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CIBOTTI, THOMAS MARK | PARTNER | |
| DUNN, IAN BENJAMIN | PARTNER, CHIEF COMPLIANCE OFFICER, AML SUPERVISOR, | |
| COVINGTON, CHRISTOPHER HUGH | PARTNER | |
| CROSBY-BROWN, LAURA MAY | FINOP | 1545513 |
Red Flags
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.
