Peter A. Dwan
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 Adams Dwan was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1976. Peter had worked at 6 firms and has passed the Series 5, Series 15, PC, Series 7, Series 53, Series 24, Series 12 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 1989 - February 22, 1991
GLEACHER & COMPANY SECURITIES, INC.
April 3, 1989 - August 5, 1989
BAIRD, PATRICK & CO., INC.
July 12, 1979 - April 27, 1989
PRUDENTIAL EQUITY GROUP, LLC
November 8, 1978 - July 14, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 16, 1977 - April 27, 1989
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
May 20, 1976 - August 27, 1976
BACHE & CO INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 7/24/1986
Interest Rate Options ExaminationSeries 15
Date: 3/7/1983
Foreign Currency Options ExaminationPC
Date: 12/14/1979
AMEX Put and Call ExamSeries 12
Date: 4/24/1980
NYSE Branch Manager ExaminationCurrent Firm
GLEACHER & COMPANY SECURITIES, INC.
CRD#: 298 / SEC#: , 8-2018
Contact information
Documents
Disclosures
| Regulatory Event | 33 |
| Civil Event | 1 |
| Arbitration | 10 |
Red Flags
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