Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peter? Claim Your ProfilePeter Allan Roe is an investment advisor representative currently registered with RBC Capital Markets, LLC. Peter Allan Roe has been working in the financial services industry since 1983. Peter Allan Roe holds a Series 63, Series 65, Series 7, Series 9, Series 10, and Series 31 license and is a registered representative in multiple states. Peter Allan Roe is also registered as an investment advisor representative in Arizona and Texas. Peter Allan Roe has previously worked for Prudential Securities Incorporated, Lehman Brothers Inc., and E. F. Hutton & Company Inc. Peter Allan Roe is also a board member of the Long Point Property Owners Association. Peter Allan Roe offers a range of investment advisory services including financial planning, pension consulting, educational seminars, and portfolio management. Peter Allan Roe is committed to providing clients with personalized investment advice and guidance.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
AZ
01/14/2016 - Present
RBC Capital Markets, LLC (SCOTTSDALE AZ)
NY
04/30/1993 - 12/15/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
02/15/1988 - 05/14/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
05/25/1983 - 02/15/1988
E. F. HUTTON & COMPANY INC
IA
Issued 06/04/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/06/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/06/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/30/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 05/21/1983
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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