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PH

Peter J. Hartney

Some features on this profile are disabled
CRD#: 842133
PH

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 Joseph Hartney was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 1977. Peter had worked at 14 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 2, 2009 - January 8, 2016

GATES CAPITAL CORPORATION

BD
CRD#: 29582
NEW YORK, NY
Past

May 5, 2008 - October 21, 2008

MOORS & CABOT, INC.

BD
CRD#: 594
BOSTON, MA
Past

June 28, 2004 - November 27, 2007

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

December 12, 2002 - July 1, 2004

QUICK & REILLY, INC.

RIA
CRD#: 11217
NEW YORK, NY
Past

January 2, 2001 - July 1, 2004

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

July 21, 1998 - January 2, 2001

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX
Past

November 13, 1996 - January 13, 1998

OWL CREEK ASSET MANAGEMENT MARKETING, LLC

BD
CRD#: 38008
NEW YORK, NY
Past

August 19, 1996 - September 24, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

December 18, 1992 - August 4, 1995

ADVEST, INC.

BD
CRD#: 10
HARTFORD, CT
Past

August 16, 1989 - April 16, 1992

ALEX. BROWN & SONS INCORPORATED

BD
CRD#: 20
Past

October 31, 1988 - August 21, 1989

HARTFIELD, TITUS & DONNELLY, LLC

BD
CRD#: 7117
JERSEY CITY, NJ
Past

January 1, 1988 - May 3, 1988

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
Past

August 13, 1985 - August 29, 1987

NUVEEN SECURITIES, LLC

BD
CRD#: 469
Past

January 23, 1979 - August 22, 1985

ROOSEVELT & CROSS, INCORPORATED

BD
CRD#: 6964
Past

September 1, 1977 - July 17, 1979

STERN, LAUER & CO.

BD
CRD#: 3507

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/31/1997
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 8/29/1996
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/8/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/20/1977
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/12/1993
Municipal Securities Principal Examination

Current Firm

GC
GATES CAPITAL CORPORATION
GATES CAPITAL CORPORATION | WESTCONN CAPITAL INCORPORATED

CRD#: 29582 / SEC#: , 8-44414

BD
Terminated by SEC on 04/16/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 11/18/1991
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SULGER, THOMAS CONNORSCHIEF EXECUTIVE OFFICER1506624
COOK, LANGDON PINGRYSHARE HOLDER500066
KIM, YOUNGWHITREASURER AND CHIEF COMPLIANCE OFFICER1394474
KURTZER, JARED MICHAELSHARE HOLDER2726672
CASEY, JAMES DOUGLAS IIIPARTNER500062

Disclosures

Regulatory Event8

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.

Company Information

GATES CAPITAL CORPORATION

CRD#: 29582

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