Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peter? Claim Your ProfilePeter Gerard Gundy is an Investment Advisor Representative at UBS Financial Services Inc. Peter has over 40 years of experience in the financial services industry and holds a Series 63, Series 65, Series 7, Series 8, Series 9, Series 10, Series 15, Series 3, Series 5, and SIE licenses. Peter works in the Indianapolis office of UBS Financial Services Inc. and is registered to provide investment advice in 34 states, including Indiana, Florida, and Texas. In addition to his experience at UBS Financial Services Inc., Peter previously worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and DEAN WITTER REYNOLDS INC. Peter Gerard Gundy has a long history of providing financial advice to individual clients, businesses, and institutions.
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.
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.
See schedule d - miscellaneous
1
2
IN
04/29/2016 - Present
UBS Financial Services Inc. (INDIANAPOLIS IN)
IN
03/02/1989 - 05/02/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (INDIANAPOLIS IN)
NA
06/07/1983 - 01/26/1989
DEAN WITTER REYNOLDS INC.
IA
Issued 12/17/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/03/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/10/1985
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/25/1993
Series 15 - Foreign Currency Options Examination
BC
Issued 08/25/1993
Series 5 - Interest Rate Options Examination
BC
Issued 08/30/1988
Series 3 - National Commodity Futures Examination
BC
Issued 05/21/1983
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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