Peter E. Redpath
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 Elliot Redpath was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1980. Peter had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 15, Series 3, Series 5, Series 7 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
May 21, 2014 - December 31, 2014
ALLSTATE FINANCIAL SERVICES, LLC
March 8, 2006 - June 14, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 3, 2002 - March 8, 2006
ADVEST, INC.
March 13, 1999 - November 20, 2001
TUCKER ANTHONY INCORPORATED
July 31, 1993 - February 24, 1999
CITIGROUP GLOBAL MARKETS INC.
April 14, 1989 - July 31, 1993
LEHMAN BROTHERS INC.
November 7, 1988 - May 5, 1989
RAYMOND JAMES & ASSOCIATES, INC.
February 12, 1988 - August 18, 1988
RAYMOND JAMES & ASSOCIATES, INC.
October 9, 1984 - February 18, 1988
WACHOVIA SECURITIES, INC.
October 9, 1981 - July 24, 1984
MORGAN STANLEY DW INC.
July 28, 1980 - October 21, 1981
CITIGROUP GLOBAL MARKETS 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 15
Date: 8/11/1992
Foreign Currency Options ExaminationSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 8
Date: 9/3/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
