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William Austin Peattie

Peattie Capital Management

Stamford, CT

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Current Employers
Peattie Capital Management

1200 High Ridge Rd Ste 7 3Rd Floor, Stamford, CT 06905 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2007-06-14
  • CT RA
    APPROVED
    Since 2007-06-14

Branch Locations

1200 High Ridge Rd Ste 7 3Rd Floor, Stamford, CT 06905 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Peattie Capital Management, Llc Darien CT 05/2007 Present
  • 05/2007 → Present
    Peattie Capital Management, Llc
    Darien, CT
Previous Registrations
  • 1999-10-19 → 2002-09-09
    Banc Of America Securities Llc
    San Francisco, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-12-08
S63 Uniform Securities Agent State Law Examination 1986-02-13
  • S65 Uniform Investment Adviser Law Examination
    2006-12-08
  • S63 Uniform Securities Agent State Law Examination
    1986-02-13

View on SEC IAPD

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