Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peter? Claim Your ProfilePeter John Lappin is a financial advisor with over 28 years of experience in the financial services industry. Peter currently works at UBS Financial Services Inc., where they have been since 2016, but previously was with Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and A. G. Edwards & Sons, Inc. Peter is registered with the Securities and Exchange Commission (SEC) as well as the Financial Industry Regulatory Authority (FINRA). Peter specializes in providing financial advice and services to individuals and families, businesses, pension and profit sharing plans, and other 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
IL
11/15/2024 - Present
UBS Financial Services Inc. (OAKBROOK TERRACE IL)
IL
05/01/2009 - 01/19/2016
UBS FINANCIAL SERVICES INC. (NAPERVILLE IL)
IL
04/02/2007 - 05/04/2009
MORGAN STANLEY & CO. INCORPORATED (GENEVA IL)
IL
11/18/1999 - 04/02/2007
MORGAN STANLEY DW INC. (GENEVA IL)
NY
07/06/1995 - 11/18/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MO
11/25/1994 - 06/09/1995
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
IA
Issued 07/25/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/14/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/03/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 11/23/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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