Peter Gratzon
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Peter Gratzon, who also goes by Jr Peter Gratzon, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1981. Peter had worked at 11 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2012 - September 10, 2013
MIDAMERICA FINANCIAL SERVICES, INC.
June 20, 2007 - September 18, 2012
NEXT FINANCIAL GROUP, INC.
June 19, 2007 - September 18, 2012
NEXT FINANCIAL GROUP, INC.
October 1, 2000 - June 20, 2007
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - June 20, 2007
WELLS FARGO CLEARING SERVICES, LLC
September 28, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
January 21, 1996 - October 3, 2000
ADVEST, INC.
February 16, 1995 - January 1, 1996
AEGON USA SECURITIES INC.
October 2, 1991 - February 3, 1995
GRUNTAL & CO., L.L.C.
January 20, 1988 - October 2, 1991
PRUDENTIAL EQUITY GROUP, LLC
February 9, 1984 - February 1, 1988
PRESCOTT, BALL & TURBEN, INC.
March 9, 1983 - February 9, 1984
EMANUEL AND COMPANY
September 25, 1981 - March 2, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MIDAMERICA FINANCIAL SERVICES, INC.
CRD#: 47351 / SEC#: , 8-51758
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
