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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peter? Claim Your ProfilePeter Lawler is a Registered Investment Advisor representative at The Caprock Group, LLC. Peter has been in the financial services industry for over 20 years, with experience in investment advisory, consulting, and proprietary investments. Peter holds a Series 63, Series 65, Series 7, and Series 9 licenses. Peter's previous employers include APEX CLEARING CORPORATION, TJM INVESTMENTS, LLC, and JUST OPTIONS, LLC. Peter is also a Managing Partner at Quivet Neck Capital, LLC, where he provides consulting and proprietary investment services.
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.
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.
Wealth management & consulting
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.
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SC
05/22/2024 - Present
THE Caprock Group, LLC (Bluffton SC)
TX
06/05/2012 - 05/01/2017
APEX CLEARING CORPORATION (DALLAS TX)
IL
03/18/2013 - 05/06/2013
NICO SECURITIES, LLC (CHICAGO IL)
IL
12/21/2012 - 01/02/2013
QNC EXECUTION SERVICES LLC (WILMETTE IL)
IL
10/20/2011 - 05/31/2012
TJM INVESTMENTS, LLC (CHICAGO IL)
IL
04/13/2009 - 02/18/2010
TJM INVESTMENTS, LLC (CHICAGO IL)
IL
04/13/2009 - 01/04/2010
TJM PROPRIETARY TRADING, LLC (CHICAGO IL)
IL
12/01/2006 - 01/06/2009
OPTIONSHOUSE, LLC (CHICAGO IL)
IL
06/20/2006 - 12/01/2006
JUST OPTIONS, LLC (CHICAGO IL)
IL
03/01/2000 - 03/13/2006
GOLDMAN SACHS EXECUTION & CLEARING, L.P. (CHICAGO IL)
IL
12/14/1998 - 06/25/2004
FIRST OPTIONS OF CHICAGO, INC. (CHICAGO IL)
IA
Issued 04/27/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/03/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/12/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/12/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/14/2000
Series 4 - Registered Options Principal Examination
BC
Issued 02/17/1999
Series 24 - General Securities Principal Examination
BC
Issued 05/01/2017
SIE - Securities Industry Essentials Examination
BC
Issued 12/09/1998
Series 7 - General Securities Representative Examination
Active
Inactive
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