Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peter? Claim Your ProfilePeter Francis Finnerty is an active broker in the financial industry since 1989. Peter is currently registered with Piper Sandler & Co. Peter has been registered with Piper Sandler & Co. since 1/3/2020. Prior to that, Peter was registered with SANDLER, O'NEILL & PARTNERS, L.P. from 7/25/2002 to 1/3/2020. Peter has extensive experience in the financial services industry, with previous registrations at SUNTRUST CAPITAL MARKETS, INC., THE ROBINSON-HUMPHREY COMPANY, LLC, DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION, and KIDDER, PEABODY & CO. INCORPORATED. Peter holds the Series 7, Series 24, Series 63, SIE and Series 79TO licenses. Peter specializes in portfolio management for businesses, and Peter's firm, Piper Sandler & Co., is a registered investment advisor that offers a variety of services to its clients.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting program
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
GA
01/03/2020 - Present
Piper Sandler & Co. (ATLANTA GA)
GA
07/25/2002 - 01/03/2020
SANDLER, O'NEILL & PARTNERS, L.P. (ATLANTA GA)
GA
07/27/2001 - 06/26/2002
SUNTRUST CAPITAL MARKETS, INC. (ATLANTA GA)
GA
10/05/1999 - 07/27/2001
THE ROBINSON-HUMPHREY COMPANY, LLC (ATLANTA GA)
NJ
11/20/1987 - 08/12/1997
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
01/21/1987 - 11/25/1987
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
BC
Issued 04/10/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/05/2003
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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