Peter R. Fader
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 Raad Fader was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1980. Peter had worked at 15 firms and has passed the Series 63, Series 5, Series 7, Series 24 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
September 1, 2009 - October 7, 2009
WINDFALL SECURITIES LLC
November 16, 2007 - January 24, 2008
TERRANOVA CAPITAL EQUITIES, INC
December 9, 2005 - January 14, 2008
URCHIN CAPITAL PARTNERS, LLC
February 9, 2005 - May 5, 2005
LIGHTSPEED PROFESSIONAL TRADING LLC
April 9, 2004 - December 15, 2004
M. S. HOWELLS & CO.
January 12, 2004 - April 5, 2004
TERRA NOVA FINANCIAL, LLC
August 7, 2003 - January 2, 2004
PRESIDIO CAPITAL ADVISORS, LLC
January 10, 2003 - August 4, 2003
MOORS & CABOT, INC.
June 11, 2002 - January 10, 2003
MERRIMAN CAPITAL, INC.
March 15, 1999 - June 10, 2002
JEFFERIES LLC
July 21, 1998 - March 16, 1999
WELLS FARGO SECURITIES, LLC
August 11, 1997 - July 22, 1998
ROTH CAPITAL PARTNERS, LLC
April 6, 1990 - August 4, 1997
MONTGOMERY SECURITIES
July 2, 1982 - April 6, 1990
HAMBRECHT & QUIST LLC
May 9, 1980 - July 22, 1982
UBS FINANCIAL SERVICES 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
Series 5
Date: 10/9/1981
Interest Rate Options ExaminationSeries 8
Date: 10/28/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WINDFALL SECURITIES LLC
CRD#: 147779 / SEC#: , 8-67927
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IRON CAPITAL HOLDINGS, LLC | PARENT | |
| LOEWER, JORDAN LAWRENCE | CCO | 709168 |
Disclosures
| Regulatory Event | 3 |
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.
