Peter G. Fager
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 Grant Fager, who also goes by Peter G Fager, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1976. Peter had worked at 5 firms and has passed the Series 63, Series 5, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 1991 - October 17, 1994
FAS WEALTH MANAGEMENT SERVICES, INC.
October 9, 1990 - November 18, 1991
DONNELLAN HAYLETT & CO., INC.
September 11, 1979 - August 27, 1990
CITIGROUP GLOBAL MARKETS INC.
September 26, 1978 - September 19, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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: 11/13/1981
Interest Rate Options ExaminationPC
Date: 9/8/1977
AMEX Put and Call ExamCurrent Firm
FAS WEALTH MANAGEMENT SERVICES, INC.
CRD#: 10164 / SEC#: , 8-26618
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FAS GROUP, INC. | SHAREHOLDER | |
| DELLAPENNA, GAETON STARK | CHIEF COMPLIANCE OFFICER,PRESIDENT/TREASURER/CFO/CEO | 1287224 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
| Arbitration | 1 |
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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