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Peter J Harpas

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Information

Other Names: Peter Joseph Harpas
Firm:
Type: Dual Registration
Description

Peter Harpas is a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a broker-dealer with over 32,300 registered representatives nationwide. Peter has held an industry securities registration for 8 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Merrill Lynch, Pierce, Fenner & Smith Incorporated 1 year, 5 months Jun 2013 - Present
Self Employed/Bev's Boutique & Beauty Salon 1 year Jun 2012 - Jun 2013
Fidelity Investments 5 years, 1 month May 2007 - Jun 2012
Self Employed/Harpas Insurance Agency 4 months Jan 2007 - May 2007
Aig -American General 2 months Nov 2006 - Jan 2007
Naa Womack 2 months Sep 2006 - Nov 2006
Washington Mutual 1 year, 7 months Nov 2004 - Jun 2006
Phh Corporation 2 years, 5 months Jun 2002 - Nov 2004
Exams
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 06/27/2008
Uniform Securities Agent State Law ExaminationSeries 63 08/24/2007
General Securities Representative ExaminationSeries 7 08/18/2007

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Peter J Harpas has not answered any questions on Financial Q&A.

Top Guides

Peter J Harpas has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
State or Municipal Government Entities
Corporations or Other Businesses
Other
Other Pooled Investment Vehicles
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

3 Financial Disclosures

No Disclosures Found

As of Date
10/14/2014
09/20/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions