Peter S. Dimaggio
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 Samuel Dimaggio was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1969. Peter had worked at 7 firms and has passed the Series 63, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 1994 - March 30, 1998
STERNE, AGEE & LEACH, INC.
August 9, 1991 - March 14, 1994
MORGAN STANLEY DW INC.
September 9, 1988 - August 15, 1991
A. G. EDWARDS & SONS, INC.
February 15, 1988 - October 6, 1988
LEHMAN BROTHERS INC.
September 18, 1978 - February 15, 1988
E. F. HUTTON & COMPANY INC
April 16, 1971 - October 5, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
August 1, 1969 - May 2, 1971
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
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
PC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 7/29/1969
Registered Representative ExaminationSeries 8
Date: 3/15/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STERNE, AGEE & LEACH, INC.
CRD#: 791 / SEC#: , 8-11754
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 6 |
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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