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William Austin Peattie

Peattie Capital Management

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About William Austin Peattie

William Peattie is a financial advisor registered in Connecticut. William has been working as a financial advisor since 1985. William is currently registered with Peattie Capital Management, LLC and has been with the firm since May 2007. William has been a financial advisor in the industry for more than 30 years. William specializes in portfolio management for individuals and publication of periodicals. Previous to Peattie Capital Management, William was registered with S F Sentry Securities, Inc. , Banc of America Securities LLC, Montgomery Securities, New Japan Securities International Inc., Intercapital Securities, Inc. and CS First Boston Corporation.

Firm Information

William Peattie is currently registered with Peattie Capital Management. Peattie Capital Management is an investment advisor registered with the SEC that provides portfolio management services to high net worth individuals. The firm manages approximately $37 million in assets for 35 clients. Peattie Capital Management also publishes periodicals.

$37.00M

Assets Under Management

Not reported

Total Clients

1

Total Financial Advisors

Services Offered

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.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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percentage of assets

A percentage of the total value of assets under management is charged.

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William Peattie’s Registration & Firm History

CT

06/14/2007 - Present

Peattie Capital Management (STAMFORD CT)

CA

09/09/2002 - 03/01/2007

S F SENTRY SECURITIES, INC. (SAN FRANCISCO CA)

NY

10/01/1997 - 09/09/2002

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

CA

05/14/1996 - 10/01/1997

MONTGOMERY SECURITIES (SAN FRANCISCO CA)

NY

02/28/1994 - 06/03/1994

NEW JAPAN SECURITIES INTERNATIONAL INC. (NEW YORK NY)

NY

06/30/1993 - 11/08/1993

INTERCAPITAL SECURITIES, INC. (NEW YORK NY)

NY

10/22/1985 - 05/17/1993

CS FIRST BOSTON CORPORATION (NEW YORK NY)

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Licenses & Designations

IA

Issued 12/08/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/13/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/19/1985

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for William Austin Peattie.
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