Peter A Franz

Current Employers

Employment History

• 01/2009 → Present
  Mohawk Valley Capital Management
  Clinton, NY
• 01/2009 → 03/2019
  Cadaret, Grant & Co., Inc.
  Clinton, NY
• 03/2019 → Present
  Lpl Financial Llc
  Clinton, NY

Previous Registrations

• 2009-01-20 → 2019-04-01
  Cadaret, Grant & Co., Inc.
  Clinton, NY
• 2007-04-11 → 2008-12-22
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Utica, NY

Other Businesses

1)03/19/2019 - Mohawk Valley Capital Management - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 01/2009 2)03/19/2019 - Franz Tax & Investments - Tax Prep/Accounting/CPA - inv rel - New Hartford, NY - start: 10/2015 3). 07/17/2019 - Franz Investment Services - Investment related - At reported business location(s) - Business Entity For Tax/Investment Purposes Only - start date:03/29/2019 - 100 hrs/mo - 100 hrs during trading. 4. 08/01/2019 - Franz Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 03/15/2019 - 0 Hours Per Month/0 Hours During Securities Trading. 5. 07/30/2021 - Peter A Franz CPA - Investment Related - At Reported Business Location(s) - CPA - Start Date: 03/29/2019 - 20 Hours Per Month/20 Hours During Securities Trading - Preparing income tax returns, compilation reports and other non-investment related services such as budgeting.

Exams

• S66 Uniform Combined State Law Examination
  2007-04-10