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Detailed Report
PETER ALBERT SEPPI
CRD#: 2643118
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 1001 LIBERTY AVENUE
SUITE 1100
PITTSBURGH, PA 15222
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2007 - Present (17 years)BRYAN BECK & CO. (CRD# 3248)2006 - 2007 (<1 year)BMORGAN STANLEY DW INC. (CRD# 7556)1995 - 2006 (11 years)
License(s)

State Registrations

B
Arizona 7/27/2020
B
Ohio 7/31/2007
B
California 7/31/2007
B
Pennsylvania 7/31/2007
B
Florida 7/31/2007
IA
Pennsylvania 12/4/2007
B
Maryland 8/22/2016
B
South Carolina 7/31/2007
B
Massachusetts 5/12/2023
B
Texas 7/31/2007
B
Missouri 6/22/2020
IA
Texas 2/17/2021
B
New Jersey 6/15/2010
B
Virginia 7/31/2007
B
New York 6/9/2011
B
Washington 2/20/2019
B
North Carolina 5/12/2021
B
West Virginia 2/10/2017

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
1001 LIBERTY AVENUE SUITE 1100, PITTSBURGH, PA 15222
Mercer, PA
Registered with this firm since 12/4/2007
B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
1001 LIBERTY AVENUE SUITE 1100, PITTSBURGH, PA 15222
Mercer, PA
Registered with this firm since 7/31/2007
Previous Registration(s)
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B
 12/04/2006 - 07/31/2007 RYAN BECK & CO. (CRD#:3248) PITTSBURGH, PA
B
 09/11/1995 - 12/06/2006 MORGAN STANLEY DW INC. (CRD#:7556) PITTSBURG, PA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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
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.