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PETER FRANCIS SMITH
PETER F SMITH
CRD#: 1383144
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FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP.CRD#: 106277 Ridgefield, CT
FEDERATED SECURITIES CORP.CRD#: 5009 Ridgefield, CT
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Disclosures
20
Years of Experience
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State Registrations
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Connecticut 8/13/2009
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New York 8/5/2021
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Illinois 10/14/2022
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Pennsylvania 8/13/2009
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New York 8/13/2009
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Pennsylvania 8/13/2009
SRO Registrations
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Registered with this firm since 8/13/2021
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Registered with this firm since 8/13/2009
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/15/2014 - 12/31/2020 | ROCHESTER, NY | |
IA | 08/13/2009 - 05/12/2011 | BOSTON, MA | |
B | 07/01/1997 - 03/17/1999 | GREENWICH, CT | |
B | 03/27/1996 - 07/10/1997 | PORTLAND, ME | |
B | 07/07/1994 - 03/22/1996 | DENVER, CO |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.