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Financial Advisors in Connecticut
11,410 Results
Unclaimed

LPL Financial LLC

location

WEST HAVEN, CT

experience

25 Years Experience

0 Disclosures

ADVISOR BIO

Peter Haupt is a financial advisor with LPL Financial LLC, a large, well-known firm with over $463 billion in assets under management. Peter has been a registered representative for over 20 years and holds the Series 6, 7, 63 and 65 licenses, and has taken the SIE Exam. Peter has experience at a number of firms including Securities America, Inc., National Planning Corporation, Jefferson Pilot Securities Corporation, USAllianz Securities, Inc. and Park Avenue Securities LLC. Peter specializes in providing financial planning, investment management, consulting and other advisory services to a diverse range of clients including individuals, corporations, charitable organizations, and pension and profit-sharing plans. Peter is dedicated to providing his clients with personalized advice and helping them achieve their financial goals.

SPECIALIZATIONS

Financial Planning Services
Pension Consulting Services
Educational Seminars & Workshops
Selection of Other Advisors
Portfolio Management for Businesses
Portfolio Management for Individuals
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES
Unclaimed

J.p. Morgan Securities LLC

location

Greenwich, CT

experience

14 Years Experience

0 Disclosures

ADVISOR BIO

Peter Paul Seroczynski is a registered investment advisor representative in Connecticut and a resident of Greenwich, CT. Peter has been in the industry since June 28, 2011, and is currently employed at J.P. Morgan Securities LLC, where Peter holds Series 66, 7, and SIE licenses. Peter is also registered in Texas. Previously, Peter worked at CITI PRIVATE ADVISORY, LLC and CITIGROUP GLOBAL MARKETS INC.

SPECIALIZATIONS

Financial Planning Services
Pension Consulting Services
Selection of Other Advisors
Portfolio Management for Businesses
Portfolio Management for Individuals
Unclaimed

Evercore Group LLC

location

Westport, CT

experience

3 Years Experience

0 Disclosures

ADVISOR BIO

Peter Laskey is a financial advisor with Evercore Group LLC. Peter has been in the industry since 2022 and is currently registered with 37 state securities regulators and the Financial Industry Regulatory Authority (FINRA) for the sale of securities. Peter has passed the Series 63, Series 86, Series 87 and SIE exams.

SPECIALIZATIONS

No specializations listed.

Unclaimed

Natwest Markets Securities Inc.

location

STAMFORD, CT

experience

17 Years Experience

0 Disclosures

ADVISOR BIO

Peter Murphy is a financial professional with over 15 years of experience in the financial industry. Peter is currently registered with Natwest Markets Securities Inc. in Stamford, Connecticut. Peter is registered with the Securities and Exchange Commission and has a Series 3, 7, 63, 99TO and SIE licenses. Peter is licensed in all 50 states. Peter's prior employment includes a previous role with Natwest Markets Securities Inc.

SPECIALIZATIONS

No specializations listed.

Unclaimed

Ameriprise Financial Services, LLC

location

New Haven, CT

experience

24 Years Experience

disclosure

1 Disclosures

ADVISOR BIO

Peter Goletz is a financial advisor with Ameriprise Financial Services, LLC. Peter has been in the industry since January 25, 2001. Peter is registered as a Broker-Dealer and Investment Advisor in multiple states. Peter is a licensed investment advisor representative. Peter has passed the Uniform Investment Adviser Law Examination, the Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination and the General Securities Representative Examination. Peter has held previous positions with Oppenheimer & Co. Inc. and Citigroup Global Markets Inc.

SPECIALIZATIONS

Financial Planning Services
Pension Consulting Services
Educational Seminars & Workshops
Selection of Other Advisors
Portfolio Management for Businesses
Portfolio Management for Individuals
ASSET ALLOCATION SERVICES
Publication of Financial Periodicals
Unclaimed

Chatsworth Securities LLC

location

GREENWICH, CT

experience

21 Years Experience

0 Disclosures

ADVISOR BIO

Peter Lawrence Swanson is a financial professional with over 18 years of experience in the financial services industry. Peter is currently registered with Chatsworth Securities LLC and holds the Series 7, Series 63, SIE, and Series 79TO licenses. Peter has previously been employed by Bedminster Financial Group, Limited. Peter is registered in California as a broker.

SPECIALIZATIONS

No specializations listed.

Unclaimed

LPL Financial LLC

location

STAMFORD, CT

experience

16 Years Experience

0 Disclosures

ADVISOR BIO

Peter Martin Gabriel is a financial advisor registered with LPL Financial LLC. Peter has been in the financial services industry since 2008 and is registered in Connecticut. Peter has worked for several firms before joining LPL Financial LLC in 2015. Peter has Series 63, 65, 66 and SIE licenses. Peter also has Series 7 license.

SPECIALIZATIONS

Financial Planning Services
Pension Consulting Services
Educational Seminars & Workshops
Selection of Other Advisors
Portfolio Management for Businesses
Portfolio Management for Individuals
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES
Unclaimed

B. Riley Wealth Advisors, Inc.

location

LYME, CT

experience

30 Years Experience

0 Disclosures

ADVISOR BIO

Peter Jeremy Sarner is an investment advisor representative with B. Riley Wealth Advisors, Inc., a financial services firm headquartered in Memphis, Tennessee. Peter has been in the industry since May 2, 1995. Peter has a diverse background, having worked previously for National Securities Corporation and Oppenheimer & Co. Inc. Peter is licensed to provide investment advisory services in Connecticut and Texas. Peter provides financial planning, pension consulting, educational seminars, and portfolio management services to individuals and businesses.

SPECIALIZATIONS

Financial Planning Services
Pension Consulting Services
Educational Seminars & Workshops
Selection of Other Advisors
Portfolio Management for Businesses
Portfolio Management for Individuals
Unclaimed

Private Advisor Group, LLC | CFP ® (Certifications)

location

West Hartford, CT

experience

21 Years Experience

0 Disclosures

ADVISOR BIO

Peter C Pabich is a financial advisor who has been in the industry for over 17 years. He is a registered representative and investment advisor representative with Private Advisor Group, LLC. Peter C Pabich holds the Series 7, Series 66 and SIE exams. He is also a Certified Financial Planner. Peter C Pabich works with individuals, families, businesses, and retirement plans.

SPECIALIZATIONS

Financial Planning Services
Pension Consulting Services
Educational Seminars & Workshops
Selection of Other Advisors
Portfolio Management for Businesses
Portfolio Management for Individuals
SOLICITATION/REFERRAL
Publication of Financial Periodicals
Unclaimed

Merrill Lynch, Pierce, Fenner & Smith Inc.

location

STAMFORD, CT

experience

28 Years Experience

0 Disclosures

ADVISOR BIO

Peter Kappel is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. based in Stamford, CT. Peter Kappel has been in the industry since March 1997 and is registered in 33 states. Peter Kappel specializes in working with individuals, corporations, insurance companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities.

SPECIALIZATIONS

Pension Consulting Services
Educational Seminars & Workshops
Selection of Other Advisors
Portfolio Management for Businesses
Portfolio Management for Individuals
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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