Peter GunningCRD Number: 1266291
Current Firm: Charles Schwab & Company, Inc.
Peter Gunning (CRD# 1266291) is an Investment Advisor Representative working at Charles Schwab & Company, Inc. in Fairfield, CT and has over 33 years of experience in the finance industry.
Altium Wealth Management LLC
Abbondandolo Wealth Management Corp
American Portfolios Advisors, Inc.
|Charles Schwab Bank||Madison, CT||Feb 2005 - Current||13|
|Charles Schwab & Company, Inc.||Madison, CT||Mar 2004 - Current||14|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||May 1984|
|S65||NASAA Investment Advisors Law Examination||Jul 1992|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management0MILLIONS
Total Number of Accounts0ACCOUNTS
Average Account Value$0
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Selection of other advisers (including private fund managers)
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY