Peter J. Spaniol
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 Jack Spaniol JR, who also goes by Peter J Spaniol Jr, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1978. Peter had worked at 6 firms and has passed the SIE, Series 1, Series 39 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2016 - December 24, 2020
CADARET, GRANT & CO., INC.
September 6, 2002 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
September 6, 2002 - February 18, 2016
MSI FINANCIAL SERVICES, INC.
February 5, 1987 - September 5, 2002
MONETA SECURITIES CORPORATION
September 27, 1978 - April 7, 1987
MONY SECURITIES CORPORATION
September 27, 1978 - April 16, 1987
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
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 1
Date: 9/18/1978
Registered Representative ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
