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Peter Michael Mcgroddy Jr.

CRD# 7033807·Registered 2019 - 2020
Previously Registered: Being a previously registered professional could mean that Peter 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.

Professional Summary

Peter Michael Mcgroddy Jr., who also goes by Mike Mcgroddy, was a registered financial advisor. Peter was a previously registered financial professional and started their career in finance 2019 - 2020. Peter had worked at 1 firm and has passed the Series 79TO and SIE exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Mike Mcgroddy

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Videos & Posts

This advisor has not added any videos or posts yet.

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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

7 years in the financial services industry

Current & Past Employments

8 RIVERS ADVISORS, LLC·CRD# 286464
BD
Durham, NC
June 24, 2019 - June 19, 2020

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Current Firm

8R
8 RIVERS ADVISORS, LLC

8 RIVERS ADVISORS, LLC

CRD#: 286464 / SEC#: 8-69886
BD
Terminated by SEC on 05/14/2023

Contact Information

Established

Delaware since 07/08/2016

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
8 RIVERS CAPITAL, LLCBD PARENT, LLC MEMBER, 100% OWNER OF 8 RIVERS ADVISORS, LLC—
BROWN, GLENN WILLIAM JRPRESIDENT & CEO2025586
DORFMAN, ESTEE CARLAFINOP2696529
SOMERS, DAVID MICHAEL IICCO4413478

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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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 79TO — Investment Banking Registered Representative Examination

Passed Jun 2019About the Series 79TO exam

SIE — Securities Industry Essentials Examination

Passed Mar 2019About the SIE exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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